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Altrincham

    Compliance Monitoring Officer - Altrincham, United Kingdom - Lookers

    Lookers
    Lookers Altrincham, United Kingdom

    1 week ago

    Default job background
    Description

    Overview

    Location: Fully remote (including travel requirements to dealerships and other offices across the group)

    Working hours: 37.5; Monday- Friday: 09:00- 17:00

    Salary: £35,000- £40,000 (depending upon experience) plus a company car

    Andrew Farrington (Financial Crime and Assurance Manager) is on the hunt for a 'Compliance Monitoring Officer' to come and join his team with this fully remote role.

    In role, you will operate within our Compliance Monitoring team where you will work alongside a fellow Compliance Monitoring Officer. You will assist in providing Lookers with considered monitoring of their regulatory obligations in relation to the regulatory activities we perform covered by the Financial Conduct Authority (FCA), Central Bank of Ireland (CBI) and the Competition and Consumer Protection Commission (CCPC). You will also carefully manage the creation and execution of the Regulatory and Risk monitoring plan.

    Responsibilities

  • Compliance monitoring:
  • Assisting in completing, updating and reporting on the Compliance Monitoring Programme
  • Planning and conducting risk-based thematic reviews within the first line of defence to assess whether effective controls are in place
  • Overseeing the implementation of appropriate remedial measures to agreed timescales
  • Assisting updating the Compliance Risk Assessment with output from the Compliance Monitoring plan
  • Delivering Compliance Monitoring activity on a quarterly basis in adherence to the Compliance Monitoring Methodology
  • Preparing draft and final reports for discussion with the Financial Crime and Assurance Manager and the Head of Compliance as well as communicating agreed reports to key stakeholders whilst ensuring remedial actions are proactively managed
  • Escalating any emerging issues as well as liaising on all highly rated issues with the wider Compliance team
  • Registering and monitoring the closure of remedial action plans
  • Assisting in the production of regular Compliance monitoring management information for all governance for a up to the board so they can identify, measure, manage and control these risks whilst covering progress and outcomes of the CMP
  • Financial crime prevention:
  • Supporting the Financial Crime and Assurance Manager with non-complex investigations and assisting with creating and maintaining information and reporting
  • Service Delivery:
  • Monitoring the successful delivery of initiatives to improve the regulatory and conduct risk controls whilst delivering significant benefits in terms of reduced and avoided regulatory breaches
  • Personal Development:
  • Developing knowledge of FCA/ CBI/CCPC as well as verbal, report writing as well as negotiating and influencing skills

    • Qualifications

    We are on the hunt for an individual who has a strong understanding of FCA, CBI and CCPC regulatory requirements and regulatory culture. Do you also have a strong understanding of consumer credit and insurance mediation activities? That's extra ticks for you

    To be successful within this role you must have the ability to deliver compliance monitoring activity whilst in turn have a thorough understanding of relevant regulatory requirements. It is also imperative that you are able to communicate clearly on complex issues at all levels, both internally and externally.

    Are you a natural at resolving conflict as well as dealing with confrontation through tact and skill? We are also looking for an individual who is able to work independently but also has strong team player capabilities. Using initiative is imperative for this role when identifying and presenting solutions to support a variety of activities and plans. We are also looking for a forward looking and focused individual when it comes to developing effective processes and increasing efficiency.

    Could you be the next 'Compliance Monitoring Officer' we are looking for? If so, why not

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