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Compliance Monitoring

3 months ago

UK, UK, United Kingdom Belmont Green Finance Limited Full time

About us

Belmont Green provide mortgage solutions operating through its “Vida Homeloans” brand for Buy to Let (BTL) and residential borrowers (ROO) who find themselves underserved elsewhere. Our borrowers range from Buy to Let investors, to the self-employed and customers with multiple jobs. Our business model and strategy are underpinned by our core purpose to ‘Help More People Find a Place to call Home’.


We are here to help the under-served, especially those with more nuanced personal circumstances or borrowing needs who are not able to access a mortgage from a mainstream mortgage lender. Working exclusively with intermediary partners, we combine cutting-edge technology with skilled and caring underwriting expertise to solve complex customer problems.


As a business with an aspiration to become a bank and grow over the coming years, we recognise the importance of having a clearly articulated culture strategy and the need to actively manage how it embeds in the business together with the behaviours which exemplify it.


As a recognised Best Companies Top 100 mid-sized company to work for in the UK and a finalist at the Financial Reporter Women’s Recognition Awards, we take pride in our diverse workforce, championing both ethic and gender diversity through our EDI commitments.


Having met the target set by being a member of the HM Treasury Women in Finance Charter we have 50% of senior management roles filled by women.


With offices in Egham, London, and Skipton, we bring our teams together regularly to collaborate and empower our colleagues to have more choice around when and where they work on the days they are not in the office, with colleagues working remotely in various locations across the UK.


Our Culture

We are proud to have built a culture founded on an ethos of caring, and that sits at the heart of our Vida Values, driving the way we run our business, support our customers and other stakeholders on a daily basis.


We genuinely care about delivering the right outcomes for all of our stakeholders who we consider through the cultural framework as our customers, colleagues, company and communities that we operate in.


By Joining Vida you will have a sense of belonging in what is a diverse and collaborative environment, where you will be empowered to take responsibility for driving delivery.


We embrace a diversity of backgrounds and experiences in our people, in the deeply held belief that better outcomes are achieved for customers when our colleagues are better placed to empathise with and understand their unique circumstances. From application to interview, we place inclusion at the heart of all we do.


Role Overview:

To assist with the implementation of an effective Compliance Monitoring and Testing Programme. To help provide oversight of and challenge to policies, frameworks, tools, techniques, and support to enable risk and compliance to be managed in the first line, conduct monitoring to assess how effectively they are doing it, and help ensure consistency in regulatory risk management.


Key Responsibilities:

  • Assist and support the Senior Compliance Manager with the overall design and delivery of a proportionate, risk-based Monitoring and Testing programme including a Regulatory Inventory and Compliance Risk Assessment in conjunction with other team members, to identify the key regulatory risks applicable to BGFL.
  • Assist with the embedding of a customer outcomes mind-set, ensuring monitoring is focused on the identification of and enhancements to customer outcomes for all Vida customers (mortgages and retail savings).


Provide 2nd line monitoring and testing:

  • Perform thematic testing reviews and escalate findings to key stakeholders, working with business owners to address and mitigate any concerns identified.
  • Perform ongoing monitoring of key regulatory processes, ensuring key regulatory risks are identified and regularly assessed.
  • Perform ‘check the checker’ testing on the 1st line control framework and provide challenge and feedback to help strengthen/enhance, as appropriate.
  • Ensure actions are tracked to closure (including post closure testing/monitoring where appropriate)


  • Track, monitor and report on progress of the annual monitoring programme, updating it on a continuous basis to adapt to the changing environment and risks within the business.
  • Assist with the identification and assessment of current and future regulatory risks across key areas in compliance monitoring and flag/escalate issues in a timely manner. Where appropriate make recommendations to mitigate those risks
  • Make recommendations to improve policies, processes, and rules to improve the effectiveness of the controls, identify non-compliance with regulations or policies, identifying gaps in systems and processes.
  • Report clearly, accurately, and insightfully on Compliance Monitoring matters through internal governance (ERC and BRC)
  • Update job knowledge by participating in educational opportunities including qualifications; reading professional publications; maintaining personal networks; participating in professional organisations.
  • Ensure activities are aligned with those of other areas of the business e.g. operations teams such as New Business Operations, Collections and Recoveries and Customer Services, and the other 2nd line teams such as, Operational Risk and Credit Risk


Knowledge & Experience:

  • Experience and understanding the UK financial services industry, provision of credit and risk associated with lending.
  • Experience within a Compliance function and/or controls environment, ideally within a lending business.
  • Knowledge of reviewing, interpretation of and implementation of FCA regulatory requirements (FCA Handbook)
  • Proven experience of initiating and implementing process development
  • Knowledge of FCA regulatory expectations within a UK financial services environment for both mortgages and savings.
  • Good written communication skills with ability to present information clearly, concisely and accurately.
  • Good analytical skills with ability to gather and manage information effectively, efficiently and ethically.
  • Strong communication skills with the ability to communicate and present to all levels both internally and externally.


Personal qualities:

  • Independently and collaboratively formulates strategic solutions and considers opportunities which will add value to the business and meet organisational goals.
  • Sets the tone for compliance and control and demonstrates and reinforces values through own behaviour to establish high standards of working practice and desired culture.
  • Fosters trust and collaboration by displaying respect of peoples’ beliefs, values, and time with openness and integrity.
  • Communicates in a constructive, friendly, and positive manner that demonstrates respect and sets an example to all.
  • Adapts communication style as appropriate to, support, coach and motivate both individuals and the organisation on regulatory matters, dependent on the given situation.
  • Confident in challenging others, whilst at the same time maintaining and building a professional relationship


Our Values

Our values are well established and recognised throughout our organisation. They provide a frame of reference for the behaviours expected from our colleagues every day.


We find ways to break old conventions, especially those which cause exclusion or customer harm. We look for these qualities when hiring new talent into the organisation, and they underpin our approach to personal development and performance management for all our people. At the heart of this is the fact we care about our Customers, Our Colleagues and our Communities. We are:


Visionary - We innovate and break old habits, thinking big and pushing boundaries together as one team


Inclusive - We value each other’s differences and work to see people for who they really are


Dynamic - We are flexible and fast, cutting through complexity and never accepting second best


Authentic - We are honest and genuine, what you see is what you get


Benefits

We offer a comprehensive benefits package to support our employees’ professional and personal needs. Further details can be provided upon application.