Complaints Officer

1 month ago

Belfast, United Kingdom Spence & Partners Limited Full time

We are excited about the future at Spence & Partners.
The industry in which we operate offers a dynamic and challenging environment and our excellent reputation is contributing to the growth of our business from an expanding portfolio of clients.
We have aspirations to extend that client base, and deliver truly integrated solutions, through the use of our highly innovative software platform, Mantle, across our work.
Spence was established in 2000, and is a wholly owned subsidiary of 3173 Limited, a privately owned company.
that includes Dalriada Trustees Limited (Dalriada) a leading independent trustee.
As such, joining us as an Assistant Accountant will open up opportunities for you to use your experience to add value across the group.
Our unique award-winning approach to the provision of services has resulted in rapid growth over the last few years with us now employing over 200 members of staff across seven offices in Belfast, Birmingham, Bristol, Glasgow, Leeds, London and Manchester.
We do not pigeonhole colleagues and aim to provide challenging and interesting work which will allow our staff to build rewarding careers.
About You We are looking for a Compliance Officer who will play a pivotal role in driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behaviour, conduct and business practices, and escalating, managing and reporting control issues with transparency.
In this role you will report to the Head of Audit, Risk and Compliance and will work closely with key stakeholders throughout the organisation.
You will oversee and monitor adherence to 3173 Group policies and procedures, create and maintain compliance program related materials, and work collaboratively with the business by providing regulatory compliance assistance and assurance.
Your goal will be to ensure we operate in a compliant, legal and ethical manner while meeting our business objectives.
Responsibilities & Criteria Develop and implement an effective compliance program.
Create sound internal controls and monitor adherence to them.
Draft and revise company policies.
Provide advice and credible challenge to stakeholders on application of relevant policy requirements.
Undertake monitoring reviews and checks as directed to ensure compliance risks within 3173 are effectively identified, measured, monitored, and controlled, consistent with 3173s risk appetite statement and all policies and processes established within the risk governance framework.
Conduct data protection impact assessments (DPIAs) and Third-Party Risk Assessments to identify, assess, and mitigate potential privacy risks.
Lead efforts to respond to data subject access requests (DSARs) and manage processes related to data breach incidents.
Support the development and maintenance of relationships with key regulators, as well as assisting with regulatory reviews and ensuring that any follow up actions are addressed.
Understand regulatory requirements, particularly in relation to the Financial Conduct Authority, and The Pensions Regulator, and assist with the delivery of regulator attestations and actions.
Collaborate with external auditors and third-party suppliers when needed.
Feed into audit plans by identifying areas for compliance review and provide support throughout the review process, where necessary.
Keep abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
Inform and advise the business of changes to regulations.
Assist with the preparation of monthly compliance reports.
Additional duties as assigned.
Experience Proven experience as a Compliance Officer or Compliance Manager Expertise of Compliance laws, rules, regulations and risks (e.g.
Anti-Money Laundering, Data Protection, Anti-Bribery and Corruption, Consumer Duty, FCA Senior Managers & Certification Regime) Familiar with The Pensions Regulator, Financial Conduct Authority and Information Commissioner's Office regulatory requirements Prior experience in operational risk, testing or audit or regulatory examination, preferred Excellent written, verbal and analytical skills Highly motivated self-starter, flexible, innovative and adaptive Strong attention to detail, team oriented, organised Integrity and professional ethics Circumstances Working hours: Monday to Friday, 37.5 hours per week with additional hours as and when required.
All roles are subject to a six-month probationary period and all prospective employees are required to complete an Access NI check.
As part of the pre-hire process the successful candidate will be subject to reference checking security vetting.
We are an Equal Opportunity Employer.
Applying with a disability or long-term health condition?
As part of our belief that we benefit from the differences among us we are committed to increasing the representation of disabled colleagues and want to remove any barriers or challenges that get in the way of candidates with a disability or long-term health condition from applying to work with us.
If there is support or an adjustment that we can provide to enable you to be at your best during the recruitment and selection process, we encourage you to advise us in good time so that we may make suitable arrangements.
We understand that being open with us may feel uncomfortable so please only share with us the information that you are comfortable to share, and rest assured that we will use this only to provide you with the right support.
Any information you give us will be treated completely confidentially.
To discuss this further please call and ask to speak to a member of the People team.

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