Risk and Compliance Specialist

4 weeks ago

Birmingham, Birmingham, United Kingdom Molo Full time
About the Role

Molo is a fintech company disrupting the mortgage industry. We've led change in the UK mortgage market and have provided over £2 billion in mortgage applications submitted through our platform. Our goal is to overhaul the mortgage experience and bring it firmly in line with other modern, customer-centric financial services. With a tech-first approach, we deliver simpler, faster mortgage lending that replaces cumbersome processes with near real-time decisions.

We've won several awards for 'Best Digital Mortgage Lender' at the Fintech Awards and 'Best Online Mortgage Lender' at the Lending Awards. Molo is a wholly-owned subsidiary of ColCap and is regulated by the UK's Financial Conduct Authority.

As a Risk and Compliance Specialist, you will support the Head of Compliance / MLRO with the effective implementation of a robust risk and compliance framework, ensuring adherence to regulatory requirements and internal policies. This role offers a chance to contribute significantly to promoting a compliance and risk culture within the organisation.

Key Responsibilities

• Provide administrative support to the Head of Compliance / MLRO
• Maintain company documents and conduct assessments
• Oversee complaints and support strategic initiatives
• Liaise with new starters and deliver risk and compliance inductions
• Identify opportunities for process improvements

Risk Management

• Support the risk and control assessment processes by collecting and organising data, performing risk assessments, root cause analysis, and helping to identify potential risks and vulnerabilities across the various business units
• Maintain and update the risk register
• Collaborate with all business areas to develop strategies and tactics for mitigating identified risks and enhancing the firm's overall risk management framework
• Monitor and evaluate the effectiveness of the risk and compliance framework and policies, and recommend improvements as needed

Compliance

• Assist in the preparation, review and maintenance of company policies, compliance documentation and manuals, reports, and records
• Horizon monitoring - keep abreast of changes in relevant regulations, industry standards and best practices
• Provide review and approval of financial promotions ensuring compliance with Consumer Duty regulations and MCOB
• Contribute to the development and delivery of compliance and risk training programs
• Oversee the implementation and effectiveness of the annual training programme
• Manage any Compliance queries that are generated by the organisation in a timely and accurate fashion
• To provide SME compliance input into developments, including product launches, distribution and systems development
• Contribute to the delivery of the Annual Compliance Monitoring Plan
• Reporting to management on levels of Compliance Assurance and/or any risks and issues arising from specific monitoring activity

Requirements:

• At least 3 years' experience in a risk and compliance capacity including some form of monitoring, checking or quality assurance, in the financial services sector
• Sound knowledge of FCA, MCOB and financial crime regulation, including financial promotion approval
• Experience in Data Protection and knowledge of GDPR

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