Compliance Monitoring Officer - Bradford, United Kingdom - Careers In Group
Description
The Audit and Risk Recruitment Company (ARRC) is working exclusively with our client, a FTSE listed banking and lending business with a presence across the UK, to assist in their search for compliance monitoring officers to join their growingcompliance monitoring function.
These roles will potentially suit a first line quality assurance/risk professional, or an experienced operations professional looking to move into a second line or process driven role.
You will be working across thematic and continuous monitoring reviews with a specific focus on assessing the fairness and impact of customer outcomes.
The company is operating a hybrid working model with a requirement to be in the office 1-2 days a week. Office locations are Bradford, Chatham or Petersfield.
Key Responsibilities
Lead and execute independent risk-based compliance monitoring activity by:
- Using the relevant systems, policies and call recording facilities to make desktop assessments of the fairness of outcomes received by customers and the standard of regulatory compliance;
- Assessing adherence to documented policy, controls and processes and articulating of the materiality and impacts of any risks identified.
- Assess findings based on materiality, likelihood of customer detriment and adherence to compliance requirements.
- Plan and organize workload to maintain a high standard of accuracy of allocated work.
- Assist the development of new and ongoing oversight requirements by supporting the research and development of the compliance monitoring plan.
- Maintaining an awareness of the compliance horizon and the impacts this can have on customers and its business.
Background Requirements (UK experience is mandatory)
- Previous Compliance Monitoring, Internal Audit, Quality Assurance OR significant first line risk/operational experience within a FCA regulated business
- Experience of working within credit (loans, mortgages, financing etc)
- Ability to identify process improvements and recommendations that realistically and effectively address the risk posed by issues identified.
- Ability to use initiative when concluding on testing results
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