Compliance Officer

4 weeks ago

London, Greater London, United Kingdom Compliance Professionals Full time
Compliance Officer

We are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. As a Compliance Officer, you will be responsible for ensuring our company's compliance with regulatory requirements and industry standards.

  • Key Responsibilities:
  • Own, maintain, develop and review compliance policies, advising management on possible risks
  • Maintain the compliance monitoring calendar
  • Advise management on the company's compliance with regulation through regular reporting
  • Develop and implement audit calendar with is approved by Risk Committee for internal and external oversight
  • Engage with 3rd party auditors and manage audit process and findings
  • Create and manage action plans in response to audit findings and outcomes
  • Conduct Internal reviews against the firm's own policies e.g. third party introducers
  • Complete all required regulatory returns and CIFAS returns/attendance at CIFAS meetings
  • Responsible for implementing and maintaining all Financial Crimes policies and procedures
  • Carry out a second line of defence role
  • Maintain the firm's financial crime risk assessment tool
  • Produce relevant management information regarding Financial Crime and draft the annual MLRO report
  • Investigate Suspicious Activity Reports and report the relevant law enforcement body if required
  • Maintain knowledge on financial crime legislation and good practice (including attending external training and CIFAS Mortgage Sector Working Party Group)
  • Keep the firm's Board and Risk Committee up to date on any upcoming changes which would impact the firm
  • Provide ongoing training to firm on financial crime
  • Responsible for ensuring Data Protection and Security Policies are in place and maintained
  • Responsible for maintaining appropriate registers such as Register of Processing Activities
  • Manage borrowers' rights under data protection legislation e.g. Data Subject Access Requests
  • Data Security management - Review proposed changes and new IT software from a data protection and security perspective
  • Liaising with IT to conduct Phishing Exercises and similar
  • Maintain and update the firms Complaints Handling Procedures
  • Conduct complaint investigations and issue final response letters as appropriate
  • Liaise with the Financial Ombudsman Service
  • Conduct Route Cause Analysis
  • Arrange for employment vetting to be conducted using an external agency
  • Design and implement a compliance induction

Requirements:

  • Minimum 3 years proven experience in compliance role at a mortgage lender
  • Strong knowledge of PRA & FCA regulation of mortgage industry including CBTL
  • Able to work with minimum supervision
  • Strong attention to detail and analytical skills
  • Able to hold their own with senior colleagues

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