Compliance Risk Manager

4 weeks ago

Manchester, United Kingdom Ascent Performance Group Ltd Full time

About Ascent Performance Group Ltd

At Ascent Performance Group Ltd, we put our customers at the forefront of everything we do. Our goal is to provide exceptional support during life's challenging times. As a Compliance Monitoring Officer, you will play a vital role in driving our success by offering technical and practical assistance with debt recovery and litigation actions on behalf of our clients.

We are a highly successful legal and financial services company that partners with other large financial service providers to offer support to individuals during uncertain times. If you're looking for a dynamic, agile, and well-established organisation with a proven track record of colleague development and internal promotions, look no further than Ascent Performance Group Ltd.

We live by our five core values:

  • Pioneering - We strive to innovate and improve our processes continually.
  • Approachable and Caring - We prioritise building strong relationships with our customers and colleagues.
  • Tenacious - We persevere in the face of challenges and maintain a focus on achieving our objectives.
  • Efficient - We aim to deliver results efficiently while upholding our high standards.
  • Show Integrity - We uphold the highest standards of ethics and integrity in all our interactions.

Your Key Responsibilities

This role involves conducting Second Line of Defence (SLOD) activities, which cover several components of internal governance, including compliance, risk management, quality, IT, and other control departments. You will monitor and facilitate the implementation of effective risk management practices by operational management and assist the business in reporting adequate risk-related information up and down the organisation.

What Your Day Will Look Like?

Second Line of Defence

  • Through a risk-based approach, you will provide assurance to the Ascent board of directors and senior management on how effectively the business assesses and manages its risks, including assurance on the effectiveness of the first line of defence.
  • You will conduct process checks, call reviews, and end-to-end reviews assessing the impact of business activity from the customer, client, legal, and regulatory perspective.
  • You will compile data to identify trends and instigate corrective actions as appropriate to prevent future occurrences.

Internal Audit

  • You will conduct audits on key policies to assess the adherence of business activity.
  • You will compile data to identify trends and instigate corrective actions as appropriate to prevent future occurrences of any issues identified.
  • You will complete annual internal audits in line with the agreed schedule.

Risk Management

  • You will support the business by liaising with staff on potential risk areas and assist in the implementation of preventative measures for accepted risk areas.

Other Duties

  • You will assist with the management and production of Customer Data Subject Access Requests.
  • You will host internal call calibration sessions and attend client calibration sessions.
  • You will keep up to date with relevant regulatory changes and internal business developments to ensure that all compliance monitoring activities remain valid.
  • You will attend relevant external workshops/meetings to maintain awareness of developments in compliance monitoring and risk management techniques.

Our Requirements

We expect you to be familiar with financial services regulatory guidelines and best practices, with an eagerness to learn more.

You should demonstrate integrity and be a customer experience champion with a strong emphasis on continuous improvement.

Your Skills and Qualifications

Essential

  • You must be educated to degree level.
  • You should have previous experience within financial services in a 1st or 2nd Line of Defence role.
  • You should have a good understanding of operational risks and how these can be mitigated.
  • You should be delivery-focused, with a proven track record of delivering on expectations.
  • You should be able to manage multiple concurrent assignments of varying scope and complexity in a cross-functional environment.
  • You should be confident, self-motivated, and able to work with minimal supervision.
  • You should possess strong interpersonal, verbal, and written communication skills and attention to detail.
  • You should take initiative, accept challenges, grow business acumen, and establish/sustain internal/external networks.

Desirable

  • You should have experience/knowledge of consumer and commercial debt recovery processes and strategies.
  • You should have a solid understanding of CPR and MCOB rules.
  • You should have a solid understanding of FCA regulatory requirements, including SMCR and Consumer Duty.
  • You should have robust risk and control, governance, and/or compliance experience gained in 1st or 2nd Line of Defence roles.

What We Offer

  • A competitive salary of around £45,000 per annum, commensurate with experience.
  • A hybrid working model.
  • A Company Pension Scheme.
  • 22 days' holiday, plus bank holidays.
  • A Health cash plan.
  • Critical illness cover.
  • Discounted legal services.
  • Season ticket loans.
  • Discounted online shopping.
  • Discounted gym memberships.
  • Cycle to work scheme.

Further Information

As part of the Ascent Performance Group Ltd onboarding process, all successful applicants are required to complete the group's employment screening process.

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