A leading consumer credit company is looking for a Compliance Officer to join their team. Working alongside 3 other compliance officers and reporting to the Compliance Manager you will assist with monitoring of performance of policies, processes and procedures to ensure efficiency and adherence to required standards and escalate issues as necessary. To ensure Compliance have adequate oversight of our 3rd party relationships, building a framework that appropriately identifies areas requiring improvement.
Act as initial point of contact for the business for technical guidance and policy interpretation and assist the business to resolve issues and find solutions for meeting regulatory requirements.
To have responsibility of our Compliance/Sales relationship to assist in product approval, initiatives and product monitoring in the context of regulatory compliance.
Assist the Manager to carry out monitoring of the business to check adherence to policies and agreed procedures to avoid risk of regulatory breach. Produce MI to highlight potential risk areas.
Review draft documents from a compliance perspective.
Produce reports as requested, including reports to be viewed by senior management.
Support the Compliance Manager in formulating appropriate guidance on regulatory changes and assist with delivery of compliance messages to the business.
Raise the profile of the Compliance function within the business in particular with the Sales and Marketing teams to ensure early engagement regarding initiatives and product monitoring.
Attend meetings / industry forums as directed by Compliance Manager.
Other ad hoc tasks as directed by Compliance Manager or Head of Regulatory Control
Circa 3 years generalist compliance experience gained within consumer credit or insurance, capable of hitting the ground running.
Please quote (42730) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.
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