Compliance Monitoring Specialist
We are looking to recruit a Compliance Monitoring Specialist based at our Leeds office. With this role you would become part of the UK’s largest provider of genuinely free independent debt advice and managed solutions.
Every year we help 620,000 people to resolve their debt problems and rebuild their lives. We employ over 1,500 colleagues and in our 25-year history we’ve helped millions of people on their journey to becoming debt free.
Right now, we’re working to deliver an ambitious four-year strategy which will see us helping more people, responding to changing client needs, and working closely with our partners to reduce the harm of problem debt.
What you will be doing
This is a crucial role in determining the success of our growth plans. Within this role you would worth the charity’s Compliance Team reporting to our Regulatory Compliance Monitoring Manager.
- Scope, plan and effectively lead or assist compliance monitoring review activity across the charity including its subsidiaries in line with the agreed compliance monitoring plan. This will include identification of the technical requirements relevant to each review from both a regulatory and charity perspective.
- Conduct / support thematic and other specialist or ad-hoc reviews in line with analysis of relevant MI, sector issues or areas of regulatory focus.
- Identify through monitoring reviews and technical analysis any areas of non-compliance of relevant regulation / legislation / internal policy and report accordingly.
- Conduct / support review meetings with key stakeholders to provide findings of non- compliance in a pragmatic way.
- Develop and maintain effective relationships with colleagues across the charity to support and gain buy-in of compliance monitoring activity and outputs through effective influencing and negotiation, and to promote a positive compliance culture.
Experience and knowledge
- Proven experience of working within a compliance monitoring role within a regulated financial services firm
- A relevant compliance qualification would be an advantage
- Excellent knowledge and understanding of the regulatory framework relevant to the wider charity including its subsidiaries to include a good working knowledge of PRIN, DISP, SYSC and TCF outcomes
- Strong specialist technical expertise gained within a previous role of at least 2 of the following disciplines:
- CASS, Financial Crime and AML
- Insolvency to include IVA, Bankruptcy, DRO, PTD, Sequestration and DAS
- MCOB and TC
- Proven ability to conduct and deliver thematic and specialist compliance reviews including associated reporting and presentation of findings
- Good awareness of the key regulatory hotspots within the financial services sector
- High level PC literacy including a strong understanding of the MS suite
Skills and abilities
- Highly numerate with the ability to analyse data and draw conclusions
- Able to work effectively as part of a team as well as independently
- Able to build and maintain positive and productive relationships with colleagues at all levels across multiple functions whilst undertaking reviews
- Excellent interpersonal and communication skills
- Confident and articulate with the ability to effectively influence and gain buy in from colleagues when presenting findings from reviews
- Strong attention to detail and high levels of accuracy with the ability to deal with competing demands, manage time effectively and ensure the completion of tasks within deadlines
As part of this role you’ll be required to Flexibility to travel to other charity sites across the UK and must be prepared to stay overnight if required.
We value our colleagues
We don’t just care for our clients and those people who contact us for help. We also value our colleagues, and this role comes complete with a generous benefit package which includes:
- 24 days annual leave (this increases by one day per year up to a maximum of 29), plus bank holidays
- The ability to buy and sell annual leave
- Travel season ticket loans
- Cycle-to-work scheme
- Group personal pension scheme
- Westfield Health cash plan
- Employee assistance programme
- Financial planning
- Long service awards
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