Compliance Officer: Regulatory Risk Expert

1 month ago

Manchester, United Kingdom D&R Recruitment Limited Full time

A leading specialist lender renowned for its expertise in bridging finance and buy-to-let mortgages seeks a Compliance Officer to join its highly successful team on a hybrid basis in the Manchester area.

The estimated salary for this role is £45,000 (negotiable), with a comprehensive benefits package including a competitive bonus.

The company's commitment to excellence and innovative financial solutions has earned it a strong reputation in the industry. Our goal is to attract talented professionals who can help us maintain our high standards.

Job Description

Company Overview: D&R Recruitment Limited is a respected recruitment agency that understands the importance of regulatory compliance in the financial sector.

Job Purpose: As a Compliance Officer, you will play a crucial role in ensuring adherence to regulatory standards, company policies, processes, and best practices. You will be responsible for performing regular audits, identifying compliance tasks, implementing corrective actions, and creating a culture of compliance within the organisation.

Main Duties:

  • Audit Planning and Execution: Develop and execute internal audit plans based on risk assessments and compliance needs. Conduct comprehensive audits of operational processes, ensuring they align with internal policies and regulatory standards. Document findings, maintain audit work papers, and communicate audit results to senior management with recommendations for improvement.
  • Compliance Monitoring: Oversee and monitor compliance with legal, regulatory, and internal policy requirements across the organisation. Action the company's fraud alerts and assess the risk to the business. Review Suspicious Activity Reports and provide training and guidance to staff.
  • Policy Development and Training: Work with the Head of Operations to develop, review, and update internal policies and procedures to ensure compliance with regulations and best practices. Maintain business process maps, training documents, and How To Guides. Provide training sessions for staff on compliance requirements and promote a culture of compliance awareness.
  • Risk Assessment and Control Testing: Perform ongoing risk assessments to identify potential compliance vulnerabilities and areas for improvement. Investigate compliance breaches or audit findings, working with relevant teams to identify root causes. Recommend corrective actions and track the resolution of compliance issues to ensure timely implementation. Report serious compliance issues to senior management, ensuring prompt and effective responses.

Person Specification:

  • Qualifications: Understanding of regulatory requirements and industry standards. Strong analytical skills, attention to detail, and ability to interpret complex regulations. Excellent communication skills and ability to work collaboratively with cross-functional teams. Proficiency in Microsoft Office Suite.
  • Key Competencies: Analytical thinking and problem-solving. Strong ethical standards and integrity. Organisational skills and attention to detail. Ability to communicate complex information clearly and effectively. Risk assessment and mitigation.

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