Conduct Assurance Officer - Barrow-In-Furness, United Kingdom - TEEM Recruitment

TEEM Recruitment
TEEM Recruitment
Verified Company
Barrow-In-Furness, United Kingdom

2 weeks ago

Tom O´Connor

Posted by:

Tom O´Connor

beBee Recruiter
Description
Overall purpose of the role

  • To be responsible for Conduct Risk MI production and completion of Assurance Monitoring reviews.
  • To support the Conduct & Assurance Manager in delivery of the Compliance Plan and the compliance function generally.
  • To work with and support the Business in compliance with procedures and regulations.
  • To present MI concisely and effectively.
Duties

  • To assist in the delivery of the Compliance Plan and general compliance
  • To undertake field work for Compliance Assurance reviews and present findings to the Conduct & Assurance Manager and relevant business owners.
  • To analyse data objectively and understand risks before presenting focussed and clear recommendations.
  • To undertake key control testing as required and liaise closely with the business areas and planning and control team.
  • MI and reporting.
  • To undertake underwriting file checks to ensure compliance with lending policy and procedures.
  • To undertake complaints checking and monitoring to ensure consistency and compliance.
  • To ensure record keeping is organised and well controlled to provide robust audit trails.
  • To assist the business with 'Pre-Audit' preparation.
  • To deliver ongoing training and coaching and awareness communications.
TEEM Recruitment are acting as an employment agency in relation to this vacancy.


Job Types:
Full-time, Permanent


Schedule:

  • Monday to Friday

Work Location:
In person


Reference ID:
CRB CAO BiF
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