Purpose of Role:
The primary purpose of this role is to support the Head of Compliance in the delivery of an up to date and value-added Compliance advisory service to the business and work with business areas to encourage a strong customer centric risk-based culture.
The role will support the Company's objective to provide fair customer outcomes, helping to ensure that the company and its employees operate within its regulatory requirements.
- Provide technical compliance advisory services to the business
- Monitor and evaluate regulatory, legislative and industry-wide developments (horizon scanning) and their impact on the business
- Produce briefing papers/business communications on regulatory, legislative and industry-wide developments addressing any actual or potential business impact
- Develop and produce regular compliance reports and management information that will be used by the business to monitor its performance against its Conduct and Compliance risk appetite.
- Provide Compliance input as required to business projects and support business units through the provision of appropriate and timely regulatory advice
- Maintain the Company regulatory roadmap
- Maintain Compliance owned Policies and Procedures ensuring these are reviewed and approved within required timescales
- Manage the review of Corporate Policies to ensure these are reviewed by the business within required timescales. Provide Compliance review and sign off of Company policies as and when required
- Manage the regulatory communications log ensuring key compliance documents are recorded and stored in the compliance folders
- Effectively manage regulatory reporting as and when required
- Act as secretary to the Risk and Compliance Committee
- Ensure Conduct and Compliance computer-based training modules are reviewed annually
- Undertake ad-hoc tasks for, and on behalf of / deputise for, the Head of Compliance when required
- A good communicator who can understand and convey information clearly in verbal and written forms
- Ability to provide challenge in a constructive and positive manner when managing and addressing stakeholders
- Ability to manage multiple tasks concurrently, prioritise appropriately
- Have a strong team working ethic
- Have a proactive, 'can-do', outlook and be able to work under own initiative
- Minimum of 2 years' experience of working in a compliance role within an FCA regulated mortgage business
- Understanding of the UK regulatory regime and rules applicable to PRIN, SYSC, MCOB, GDPR, DISP (especially within specialist mortgage market)
- Have a broad understanding of the key concepts of risk management
Our people embrace our values:
Fair - We are open minded and make unbiased, consistent decisions.
Accountable - We take ownership of situations so that our customers experience efficiency.
Customer first - We understand what our customers want and build strong relationships.
Transparent - We communicate clearly and concisely, ensuring that we are open with information.