Compliance and Complaints Officer - Sheffield, United Kingdom - Nicholas Howard
Description
We are currently recruiting for our client in Sheffield. The position is for a Compliance and Complaints Officer. The role is permanent and part time (2 days a week), Monday and Tuesday each week.
Our client's group is a dynamic, credit orientated lending business which is backed by one of Australia's largest investment banks and majority owned by management.
The business is part of a group of businesses that include a fintech start-up, a motor finance business, and a consumer finance business.
The company primarily serves customers that fall outside mainstream lenders criteria, making it a very interesting segment to serve. Customers are generally self-employed, contract or part-time workers, recent migrants, and those with complex or irregular incomes.Loan purpose is a mix of purchase and refinance, and they write traditional, help to buy, and buy to let mortgages.
Job Overview:
The role is based within the Mortgage business of the group and would be reporting directly to the Chief Compliance Officer.
Position Description:
Core responsibilities
- Undertake designated financial crime management activities under the supervision of the Chief Compliance Officer (in their role as BML's MLRO)
- Undertake Second Line of Defence Compliance monitoring activities, report your findings to line management and provide management information to the Company's Regulatory & Compliance Committee.
- Jointly manage the vaulting of required call recordings for the Company.
- Joint responsibility for maintaining all information and correspondence relating to complaints on the Company's Zendesk complaints database.
- Handling customer complaints effectively through to resolution; and making appropriate recommendations for a final decision on the merits of the complaint.
- Ensure adherence to the Companies' internal complaints procedure and that appropriate complaint records are completed and maintained.
- Assist in the production of the periodic root cause analysis of complaints received and prepare findings in a periodic report to Senior Management.
- Support the Company's Chief Compliance Officer as required.
Skills & Requirements
Essential:
- At least 1 year's experience in an independent Quality Assurance or Compliance role and/or 1 year's mortgage complaint handling within a FCA regulated financial institution.
- A good understanding of MCOB, DISP, and general FCA requirements, Data Protection legislation and the Financial Ombudsman Service.
- Good written and verbal communication skills.
- Good problem solving and investigative skills.
- Good organisational and administrative skills with a proven ability to prioritise tasks.
- The ability to work both on an independent basis and as a teamworker who must be able to build working relationships and interact with colleagues across the Company.
- MS Office and/or Google proficient.
Desirable:
- At least 2 years' experience (or deemed equivalent) in a regulated mortgage operations role such as lending or servicing.
- An understanding of financial crime issues that face a mortgage lender.
- Experience of antifraud tools such as CIFAS, SIRA, Hunter and PEPs and Sanctions screening.
Job Types:
Full-time, Part-time, Permanent
Part-time hours: 16 per week
Salary:
£12,000.00 per year
Benefits:
- Company events
- Company pension
Schedule:
- Day shift
- No weekends
Supplemental pay types:
- Bonus scheme
Ability to commute/relocate:
- Sheffield,
South Yorkshire:
reliably commute or plan to relocate before starting work (required)
Work Location:
In person
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