Compliance Associate

5 months ago

Leeds, United Kingdom Age Partnership Full time

Package

Circa £23,500 and comprehensive benefits package.

Hours of work

37.5 Per week (Hours of work will be flexible and dictated by the needs of the business, therefore it is expected that the successful applicant will work those hours necessary to successfully discharge the duties of the role).

The role

Overview

To support the business in ensuring it complies with its obligations in relation to the regulatory bodies such as the FCA and ICO.

The successful candidate would be provided with the relevant support and training to conduct their role.

Primary responsibilities are to:

undertake elements of the compliance monitoring plan across all areas of the business. support the team with the identification, investigation and response to complaints. assist the business responding to queries submitted into the central Compliance inbox. assist with the development of documented processes and procedures across the business, encompassing the identification of risk and controls and monitoring adherence. reporting any issues and/or risks to the Compliance Manager (Operations) as agreed.

Key outputs

Work with Compliance team colleagues to:

Support the business to take opportunities for swift, informal resolution of complaint matters where appropriate. Conduct activities in line with annual compliance monitoring plan requirements, liaising with the Compliance Manager to identify any training requirements and/or risks, providing feedback to individuals as appropriate. Acknowledge and respond to day⁠-⁠to⁠-⁠day queries submitted by the business to the central Compliance inbox. Support the development of policy and procedure within the business.

About us

Not your typical financial services firm…

Established in 2004, Age Partnership has held true to its pledge to improve the markets in which we operate for the benefit of customers. We do this by delivering world⁠-⁠class customer experiences, continually innovating and embracing digital technology to make dealing with the company both efficient and engaging.

At Age Partnership we accept nothing other than being the best at what we do, and this objective is reinforced by an environment in which colleagues are encouraged to engage, to learn and to flourish. Significant in⁠-⁠house training and development facilities and empowerment of colleagues are just a couple of components that have helped this culture to thrive.

We strive in becoming a household name that is synonymous with excellence. Added to this we want to work, collaborating with all our partners and suppliers to enable our customers benefit from the relationship. It sounds simple but it needs to be worked on to achieve.

Our Values:

Customer first

Be Respectful – Treat customers and colleagues at all levels with dignity and respect. Show awareness – Be aware of how your actions and behaviours affect customers, colleagues and the business. Go Above & Beyond – Always aim to exceed expectations, giving your very best to every customer and colleague.

Raise the bar

Embrace Change – Treat change as an opportunity to improve, welcoming new ideas and ways of working. Commit to Development – Take responsibility for your personal development and that of the business. Be Proud & Lead By Example – Take pride in yourself and your work, acting as a positive role model for others.

Do the right thing

Be Accountable – Take responsibility for your actions and learn from any mistakes. Keep Your Promises – Do what you say you’ll do, when you say you’ll do it. Be Courageous & Honest – Speak up for what you believe in and welcome the opportunity to give and receive constructive feedback.

Win together

Collaborate & Share – Be generous with your time and ideas, working with and for the wider team. Appreciate others – Recognise the contribution made by every colleague to the success of our business. Focus on Solutions – Show resilience and determination, focusing on the solution not the problem.

The person:

Overview:

Approachable, organised individual with an ability to work in line with detailed process and procedures in a regulated environment. An enthusiastic self⁠-⁠starter who can seek work pro⁠-⁠actively and carry out activities when given the relevant guidance and support. An excellent communicator with the ability to interact at all levels. Capable of handling work across a range of products and activities whilst retaining a high level of detail.

Skills & knowledge:

Essential

Ability to use all Microsoft Office programmes to a competent level

Desirable

Experience in an internal/external customer facing environment. Experience of quality assurance or compliance monitoring activity. Experience of working in a financial services environment.

Qualifications:

General education

Good numerical and literacy skills

Financial services qualifications/willing to study towards:

Certificate in Mortgage Advice and Practice (CeMAP) Certificate in Regulated Equity Release (CeRER) (Home Reversion ‘top⁠-⁠up’ unit or ER1)

Age Partnership will support you financially with these studies.

This job description is not exhaustive and serves only as a broad outline of the duties required. This job description may be amended as necessary.

This job description is not exhaustive and serves only as a broad outline of the duties required. This job description may be amended as necessary.

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