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Compliance Officer

2 weeks ago

Tredegar, United Kingdom Family Finance Full time

**Job Description and**

**Job Title**

Compliance Officer

**Reports to**:
Head of Compliance

**Division**

Compliance

**Location**

Tredegar/Home Based

**Job Summary**
- To assist the HoC to develop and maintain policies, processes, registers and MI reports to ensure the vital aspects of regulatory compliance are adhered to and reported.
- To assist with the development & monitoring of audit programmes
- To be responsible for production of routine compliance & audit reports, as designated by the HoC.
- To manage/co-ordinate completion of remedial actions, identified through QA, Monitoring, Audit or root cause analysis, as required.
- To assist the HoC/Senior Management team in addressing findings from compliance monitoring reviews, audit programmes, complaints root cause analysis and other review/reporting mechanisms.
- Preparation/circulation of monthly Directors’ Compliance Meeting agenda, minutes, action plan and reports in consultation with HoC.
- To record notes/minutes of various compliance meetings, as required.
- To assist with recording and monitoring of complaints, in accordance with FCA rules
- To investigate, liaise with key staff and produce draft written responses to designated categories of complaints.
- To provide input on regulatory training to the business
- Monitoring online compliance training
- Maintaining awareness of regulatory compliance updates
- Circulating information updates to appropriate staff.

**According to qualifications/experience**
- Interpret regulatory requirements and implement practical, compliant solutions in consultation with HoC and appropriate Director/s.

**Working Relationships**
- Work with all levels of the business to establish a positive compliance culture
- Liaises with all staff and managers to improve understanding of compliance processes, develop strong working relationships and embedment of TCF.
- Work with agents/brokers to ensure compliance with FCA requirements

**Qualifications/Skills/Experience**
- Experience of working in a Risk/Compliance role for an FCA regulated business, or experience of consumer credit/mortgages in a regulator or professional services role.
- ICA Certificate in Compliance
- Experience and knowledge of FCA Regulation & Data Protection Legislation.
- Degree and/or other appropriate professional qualification
- Excellent IT skills including Microsoft Office software and in particular, Microsoft Excel
- Strong analytical and problem-solving skills
- Excellent organisational skills.
- Ability to write clear and concise records.
- Strong attention to detail

**Additional attributes**
- Ability to deliver simultaneous, time pressured tasks and prioritise effectively.
- Ability to communicate clearly and concisely to all levels of staff
- Ability to work on own initiative.
- Customer focused attitude

**Job Types**: Full-time, Permanent

**Salary**: £33,000.00-£35,000.00 per year

**Benefits**:

- Company events
- Company pension
- Cycle to work scheme
- Employee discount
- Free parking
- Private medical insurance
- Sick pay
- Wellness programme
- Work from home

Schedule:

- 8 hour shift
- Day shift
- Monday to Friday
- No weekends

Ability to commute/relocate:

- Tredegar: reliably commute or plan to relocate before starting work (preferred)

**Education**:

- A-Level or equivalent (preferred)

**Experience**:

- Compliance In A Regulatory Environment i.e FCA: 1 year (preferred)

Work Location: Hybrid remote in Tredegar

Reference ID: Compliance Officer - FF - 23