Compliance Associate - Northamptonshire, United Kingdom - Fram Search

Fram Search
Fram Search
Verified Company
Northamptonshire, United Kingdom

1 month ago

Tom O´Connor

Posted by:

Tom O´Connor

beBee Recruiter
Description
Hybrid working

  • Leading specialist lender
  • Asset finance or consumer lending background preferred
Our client is a leading specialist lender, who are seeking a compliance associate to join their team.

They provide lending to large, medium, and small business as well as private individual across a range of vehicle and equipment.

Due to growth within the business, they are seeking an additional member for their compliance team.

The role is to assist the operation of effective systems and controls to mitigate business risk and ensure compliance with the regulatory system.

You will report to the head of compliance and help maintain a collegiate relationship with the business and its clients whilst ensuring it complies with its regulatory responsibilities.


Our client is looking for someone with a good basis of compliance knowledge from an asset finance or consumer lending environment, with understanding of relevant FCA rules and guidance.


Some of the responsibilities:

  • Complete regular compliance monitoring engagements in accordance with the annual Compliance Monitoring Plan.
  • Report and discuss all findings with appropriate management obtaining their responses to the findings made.
  • Make recommendations for remedial action and process improvements and agree timescales and action owners.
  • Document the findings, recommended actions and management responses together with agreed timescales and action owners.
  • Followup management's implementation of agreed compliance actions and report all outstanding actions to the Compliance Manager.
  • Administer the annual LMS training programme and provide assistance on any issues to the Business as and when required.
  • Assist the Compliance Manager with Focused reviews and projects as and when required.
  • Contribute to the monthly Executive Compliance Update Report as required.
  • Undertake the agreed annual training programme within the prescribed time.
  • Assist the Compliance Manager with other duties as required.
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