Compliance Monitoring Officer

2 days ago

Manchester, United Kingdom Ascent Performance Group Ltd Full time

A bit about Ascent

At Ascent we place the customer at the heart of our operations, ensuring that within our customers most vulnerable times, we offer the support they deserve. You will play a huge part in the ongoing success of Ascent by providing technical and practical support when dealing with debt recovery and litigation actions on behalf of our clients.


Ascent Performance Group are a highly successful legal and financial services company; we work with other large financial service companies to support individuals during uncertain times. If you want to join an agile, successful and well-established organisation, with a proven track record of colleague development and internal promotions, look no further than Ascent.


We live by our five core values:

  • Be pioneering
  • Be approachable and caring
  • Be tenacious
  • Be efficient
  • Show integrity


Be Part of our team

This role’s primary objective is to conduct Second Line of Defence (SLOD), activities, which are covered by several components of internal governance (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 will your day look like?

Second Line of Defence

  • Through a risk-based approach, 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 of defence.
  • Conduct process checks, call reviews and end to end reviews assessing the impact of business activity from the customers, client, legal and regulatory perspective.
  • Compile data to identify trends and instigate corrective actions as appropriate to prevent future occurrence.

Internal audit

  • Conduct audits on key policies to assess the adherence of business activity.
  • Compile data to identify trends and instigate corrective actions as appropriate to prevent future occurrence of any issues identified.
  • Complete annual internal audits in line with the agreed schedule.

Risk Management

  • 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

  • Assist with the management and production of Customer Data Subject Access Requests.
  • Host internal call calibration sessions and attend client calibration sessions.
  • Keep up to date with relevant regulatory changes, along with internal business developments to ensure that all compliance monitoring activities remain valid.
  • Attend, as required, relevant external workshops/meetings to maintain awareness of developments in compliance monitoring and risk management techniques.


Our Candidate Requirements

We expect you to be:

  • Familiar with financial services regulatory guidelines and best practices, with an eagerness to learn more.
  • Demonstrate integrity and be a customer experience champion with a strong emphasis on continuous improvement.


Knowledge, skills & experience

Essential

  • Educated to Degree level.
  • Previous experience within financial services in a 1st or 2nd Line of Defence role.
  • Good understanding of operational risks and how these can be mitigated.
  • Delivery focused, with proven track record of delivering on expectations.
  • Ability to manage multiple concurrent assignments of varying scope and complexity in a cross-functional environment.
  • Confident, self-starter with the ability to work with minimal supervision.
  • Strong interpersonal, verbal, and written communication skills and attention to detail.
  • Takes initiative, accepts challenges, grows business acumen, and establishes/sustains internal/external networks.
  • and relationships in a complex organisational environment.
  • Acts with integrity and holding oneself accountable for their remit.

Desirable

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


What we offer you

  • Hybrid working model (Following initial Training period*)
  • Company Pension Scheme
  • 22 days holiday, plus bank holidays (We have a buying holiday scheme that allows you to buy additional holidays during the annual holiday year)
  • Health cash plan
  • Critical illness cover
  • Discounted legal services
  • Season ticket loans
  • Discounted online shopping
  • Discounted gym memberships
  • Cycle to work


Further Information

As part of the Ascent on-boarding process all successful applicants are required to complete the group’s employment screening process. This process helps to ensure that all new employees meet our standards in relation to honesty and integrity therefore protecting the interests of the Group, existing employees, clients, partners and other stakeholders.

  • Compliance Monitoring Officer

    5 months ago

    Manchester, United Kingdom AJ Bell Full time

    **Job Description**: Do you want to take the next challenging and rewarding step in your career? An exciting opportunity has arisen to join the AJ Bell Compliance Monitoring team. This will help further your career in a regulatory environment within financial services and provide exposure to all areas of Risk & Compliance. We are looking for someone with...

  • Compliance Monitoring Officer

    5 months ago

    Manchester, United Kingdom AJ Bell Full time

    **Job Description**: Do you want to take the next challenging and rewarding step in your career? An exciting opportunity has arisen to join the AJ Bell Compliance Monitoring team. This will help further your career in a regulatory environment within financial services and provide exposure to all areas of Risk & Compliance. We are looking for someone with...

  • Compliance Monitoring Officer

    6 months ago

    Manchester, United Kingdom AJ Bell Full time

    **Job Description**: Do you want to take the next challenging and rewarding step in your career? An exciting opportunity has arisen to join the AJ Bell Compliance Monitoring team. This will help further your career in a regulatory environment within financial services and provide exposure to all areas of Risk & Compliance. We are looking for someone with...

  • Internal - Compliance Monitoring Officer

    5 months ago

    Manchester, United Kingdom AJ Bell Full time

    **Job Description**: Do you want to take the next challenging and rewarding step in your AJ Bell career? An exciting opportunity has arisen to join the Compliance Monitoring team where full training will be provided. This will enable you to develop a career in a regulatory environment within financial services and provide exposure to all areas of Risk &...

  • Compliance Monitoring Officer

    17 hours ago

    Manchester, United Kingdom Ascent Full time

    A bit about Ascent At Ascent we place the customer at the heart of our operations, ensuring that within our customers most vulnerable times, we offer the support they deserve.You will play a huge part in the ongoing success of Ascent by providing technical and practical support when dealing with debt recovery and litigation actions on behalf of our...

  • Compliance Monitoring Officer

    17 hours ago

    Manchester, United Kingdom Ascent Performance Group Ltd Full time

    A bit about Ascent At Ascent we place the customer at the heart of our operations, ensuring that within our customers most vulnerable times, we offer the support they deserve.You will play a huge part in the ongoing success of Ascent by providing technical and practical support when dealing with debt recovery and litigation actions on behalf of our...

  • Compliance Monitoring Officer

    2 days ago

    Manchester, United Kingdom Ascent Performance Group Ltd Full time

    A bit about AscentAt Ascent we place the customer at the heart of our operations, ensuring that within our customers most vulnerable times, we offer the support they deserve. You will play a huge part in the ongoing success of Ascent by providing technical and practical support when dealing with debt recovery and litigation actions on behalf of our...

  • Compliance Monitoring Officer

    2 days ago

    Manchester, United Kingdom Ascent Performance Group Ltd Full time

    A bit about AscentAt Ascent we place the customer at the heart of our operations, ensuring that within our customers most vulnerable times, we offer the support they deserve. You will play a huge part in the ongoing success of Ascent by providing technical and practical support when dealing with debt recovery and litigation actions on behalf of our...

  • Compliance Monitoring Officer

    2 days ago

    Manchester, UK, Greater Manchester, United Kingdom Ascent Performance Group Ltd Full time

    A bit about AscentAt Ascent we place the customer at the heart of our operations, ensuring that within our customers most vulnerable times, we offer the support they deserve. You will play a huge part in the ongoing success of Ascent by providing technical and practical support when dealing with debt recovery and litigation actions on behalf of our...

  • Compliance Officer

    1 month ago

    Manchester, United Kingdom CV-Library Full time

    A leading Chartered Wealth Management firm are looking for a Compliance Monitoring Officer to join the team. This position can be office based or fully remote for the right person. It offers a competitive salary, and a comprehensive benefits package. Compliance Officer Overview: As the Compliance Monitoring Officer, you will be responsible for reviewing...

  • Compliance Officer

    4 weeks ago

    Manchester, United Kingdom Rico Property Finance Ltd (TA D&R Recruitment) Full time

    A leading Chartered Wealth Management firm are looking for a Compliance Monitoring Officer to join the team.This position can be office based or fully remote for the right person. It offers a competitive salary, and a comprehensive benefits package.Compliance Officer Overview:As the Compliance Monitoring Officer, you will be responsible for reviewing advice...

  • Life Assurance Compliance Specialist

    3 weeks ago

    Manchester, United Kingdom Compliance Recruitment Solutions Full time

    Compliance Reviewer Opportunity in ManchesterWe are seeking a Compliance Reviewer to join our team. This role is perfect for individuals with experience in factfind review and level 4 qualifications.About the RoleThis hybrid role offers flexibility, working from home or in our Manchester office. As a Compliance Reviewer, you will be responsible for...

  • Monitoring Officer

    6 months ago

    Manchester, United Kingdom Sodexo Full time

    Job Introduction As a **Monitoring Officer** with Sodexo, you will be the go-to contact for daily quality monitoring audits of cleaning standards including corrective action planning. Based at **Manchester University NHS Foundation Trust **your attention to detail and teamwork will make a positive impact to cleaning standards and patient care. Join Sodexo...

  • Compliance Officer

    6 months ago

    Manchester, United Kingdom Tab Recruitment Full time

    **Role: Compliance Manager** **Location: Salford Quays - onsite parking** **Starting salary: £40,000** This is the perfect opportunity to become part of a welcoming, supportive culture where you can grow and develop within your career. **Responsibilities of the Compliance Officer**: - Develop, implement, and maintain compliance policies and procedures...

  • Operations Compliance Officer

    6 months ago

    Manchester, United Kingdom Douglas Scott Legal Recruitment Full time

    Operations Compliance Officer Manchester Top100 Firm A top100 law firm are currently looking for an Operations Compliance officer to join their team. This new role in the Professional Ethics and Compliance (PE&C) team focuses on ensuring third-party products and services align with legal, ethical, and regulatory standards. The role involves collaboration...

  • Compliance Officer

    2 weeks ago

    Manchester, United Kingdom D&R Recruitment Limited Full time

    Job Description A leading specialist lender renowned for their expertise in Bridging Finance and Buy-to-Let (BTL) mortgages currently requires Compliance Officer a to join its highly successful and vibrant team, on a hybrid basis, and in the Manchester area. Competitive salary to c£45,000 (negotiable), hybrid, bonus and a comprehensive benefits package. ...

  • Compliance Officer

    2 weeks ago

    Manchester,, Greater Manchester, United Kingdom D&R Recruitment Limited Full time

    A leading specialist lender renowned for their expertise in Bridging Finance and Buy-to-Let (BTL) mortgages currently requires Compliance Officer a to join its highly successful and vibrant team, on a hybrid basis, and in the Manchester area.Competitive salary to c£45,000 (negotiable), hybrid, bonus and a comprehensive benefits package.Its commitment to...

  • Compliance Officer

    2 weeks ago

    Manchester, United Kingdom D&R Recruitment Limited Full time

    A leading specialist lender renowned for their expertise in Bridging Finance and Buy-to-Let (BTL) mortgages currently requires Compliance Officer a to join its highly successful and vibrant team, on a hybrid basis, and in the Manchester area.Competitive salary to c£45,000 (negotiable), hybrid, bonus and a comprehensive benefits package.Its commitment to...

  • Compliance Officer

    2 weeks ago

    Manchester, United Kingdom D&R Recruitment Limited Full time

    A leading specialist lender renowned for their expertise in Bridging Finance and Buy-to-Let (BTL) mortgages currently requires Compliance Officer a to join its highly successful and vibrant team, on a hybrid basis, and in the Manchester area.Competitive salary to c£45,000 (negotiable), hybrid, bonus and a comprehensive benefits package.Its commitment to...

  • Compliance and Safety Officer

    1 month ago

    Manchester, United Kingdom CV-Library Full time

    Compliance & Safety Officer Full time permanent - Manchester Our customer, is an international line, light and base maintenance provider, operating a 24-hour comprehensive level of support for commercial aircraft operators. Offering fully customised services including AOG support, workshop facilities, aircraft modification programs, 147 Technical Training,...