Compliance Risk Management Specialist

3 weeks ago

Leeds, Leeds, United Kingdom Iwoca Full time

We are seeking a highly skilled Regulatory Conduct Compliance Officer to support our Head of Regulatory Compliance in the management and oversight of conduct risk within Iwoca. This role is critical in ensuring that Iwoca understands and adheres to regulatory standards and industry best practices, particularly those set by the Lending Standards Board (LSB). The successful candidate will work closely with compliance, operations, and funnel teams to identify, assess, and mitigate conduct risks, promoting and supporting Iwoca's objectives of ensuring good customer outcomes in our operations.

Key Responsibilities:

  • Conduct Risk Management:
    • Develop, implement, and maintain a conduct risk framework specifically tailored to unregulated SME lending activities, aligned with LSB standards.
    • Identify, assess, and monitor conduct risks, ensuring effective management within our risk appetite and in accordance with LSB principles.
    • Collaborate with the Head of Regulatory Compliance to establish and communicate clear conduct risk policies and procedures, ensuring they reflect LSB standards.
  • Compliance Monitoring:
    • Conduct regular audits and reviews of lending practices to identify potential conduct risks, with a focus on adherence to LSB guidelines, and recommend corrective actions where necessary.
    • Develop and maintain a comprehensive risk register, ensuring that all identified risks are regularly reviewed and updated, particularly in relation to LSB compliance.
  • Training and Awareness:
    • Provide training and guidance to staff on conduct risk, responsible lending practices, and the importance of treating customers fairly, with a particular emphasis on LSB standards.
    • Promote a strong risk culture across Iwoca, ensuring that all employees understand their role in managing conduct risk and maintaining LSB compliance.
  • Reporting and Analysis:
    • Support the Head of Regulatory Compliance with preparation of regular reports on conduct issues for senior management and the Risk Committee, highlighting key risks, trends, and mitigation actions, with specific reference to LSB compliance.
    • Analyse data and metrics related to conduct risk and customer outcomes, using insights to inform decision-making and continuous improvement, particularly in line with LSB standards.
  • Stakeholder Engagement:
    • Act as the first point of contact for conduct risk matters, working closely with internal stakeholders, including but not limited to the legal and operations teams, and ensuring alignment with LSB standards.
    • Engage with external stakeholders, such as the Lending Standards Board, to stay informed about emerging risks, trends, and regulatory changes.

Requirements:

  • Minimum of 3 years' experience in a conduct risk, compliance, or similar role within financial services, with exposure to lending products.
  • Strong understanding of conduct risk principles and their application in unregulated lending environments.
  • Experience working with or within the standards set by the Lending Standards Board (LSB) is desirable.
  • Familiarity with the regulatory landscape affecting SME lending in the UK, even in unregulated sectors.
  • Bachelor's degree in finance, law, business, or a related field.
  • Professional qualifications in risk management, compliance, or a related discipline are desirable.

We offer a salary range of £45,000-£50,000 for this role, commensurate with experience. We prioritize a culture of learning, growth, and support, and invest in the professional development of our team members. Our friendly and inclusive environment, combined with flexible work policies, ensures a perfect balance between work and life, empowering you to thrive both personally and professionally.

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