Compliance Expert

7 days ago

Reading, Reading, United Kingdom Three Full time

Job Summary

The Compliance Lead will provide independent challenge, oversight, and practical guidance to Three's first line business areas regarding the operation of its financial services products. This role will involve working closely with the 2nd line financial services compliance team to deliver the monitoring plan and wider compliance programme.

Key Responsibilities

  • Provide expert and practical regulatory guidance, support, and independent challenge to Three's first line of defence in relation to its financial services products' systems, policies, processes, and controls.
  • Design and lead formal compliance reviews and carry out testing in accordance with Three's monitoring plan and compliance programme.
  • Support with the identification of regulatory and conduct risks and provide guidance to Three's first line of defence on appropriate controls to manage those risks within appetite and regulatory requirements.
  • Analyse and interpret conduct risk and compliance MI to enable a data-led and risk-based approach to your work, sharing insights and perspectives on how to improve and adapt Three's compliance programme and monitoring plan, as necessary.
  • Provide support to business areas on how to appropriately resolve any identified compliance issues, including root cause analysis and customer remediation.
  • Support with the development and review of key compliance policies, processes, and training materials.
  • Produce timely and accurate compliance reporting for internal and external stakeholders.
  • Drive education and awareness of compliance, conduct, and regulatory risk management good practices across the organisation. Delivering training sessions where required.
  • Work closely with colleagues in legal and compliance to ensure a holistic approach to guidance, support, and challenge.
  • Maintain a deep understanding of UK financial services regulation, consumer credit practices, and upcoming regulatory changes impacting our business.

Requirements

  • Experienced financial services compliance professional specialising in consumer credit. Strong knowledge of CONC, SYSC, and DISP is essential.
  • You'll have and maintain a deep understanding of UK financial services regulation, be skilled at explaining requirements in straightforward/practical terms, and provide pragmatic and proportionate guidance on appropriate systems and controls to mitigate any regulatory/conduct risks arising.
  • A strong understanding of regulatory and conduct risk management practices in financial services, and what it means to deliver good customer outcomes across a consumer credit product lifecycle.
  • Experienced in leading on the design and delivery of formal compliance reviews. You'll have excellent planning, report writing, and stakeholder management skills.
  • Experienced in evaluating policies, procedures, processes, and internal controls, and their effectiveness.
  • Experienced in drafting compliance-owned policies.
  • Experience in overseeing compliance issue management and remediation activities, and understanding appropriate root cause analysis practices.

What You'll Receive

  • Competitive annual salary, car allowance, a performance-based annual bonus, and an additional 'flexible allowance' to spend on additional benefits, topping up your pension, or to be added to your salary.
  • Hybrid working between your home (2-3 days a week) and our brand new Reading HQ office at Green Park (2-3 days a week).
  • 28 days annual leave + 8 bank holidays + 3 personal days annually, which increases with length of service.
  • Private Medical Insurance, Life Assurance, and Income Protection.
  • Free mobile phone package and unlimited sim-card.
  • Free on-site car parking (including electric).
  • Plus lots more including wellbeing and learning & development benefits.

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