Compliance Officer

Stellar Select Limited; Hart; Hybrid; GBP 35,000 - 41,000; Full time

Job summary

Une entreprise de prêt spécialisée recherche un Compliance Officer pour rejoindre une petite équipe de conformité. Ce rôle comprend la surveillance des activités de conformité, la gestion des rapports et la formation. Le candidat idéal aura de l'expérience dans le secteur financier et une passion pour le développement de sa carrière.

Benefits

Pension non-contributive de 11%

25 jours de congés annuels

Assurance maladie privée

Jours de bénévolat payés

Bonifications annuelles discrétionnaires

Qualifications

• Expérience précédente en conformité dans le secteur des services financiers.
• Connaissance des revues thématiques.
• Souhait de suivre une qualification professionnelle.

Responsibilities

• Réaliser des activités de surveillance conformément au plan de surveillance de la conformité.
• Rédiger des rapports de surveillance.
• Former sur la conformité au besoin.

Skills

Communication

Autonomie

Analyse

Education

Qualification professionnelle pertinente

Job description

Job Title: Compliance Officer

Location: Fleet Hybrid 2 days WFH a week post probation

Salary: Up to 35,000

Hours: Monday to Friday 9 am to 5 pm

Benefits:

• 11% non-contributory pension scheme from day 1 of employment
• 25 days annual leave plus bank holidays
• Annual leave buying scheme
• Private medical insurance
• Annual discretionary bonus
• Free annual flu jabs
• 4x life assurance
• 75% income protection
• Enhanced maternity and paternity pay and leave
• Free eyecare vouchers
• 2 days paid volunteering days per year
• Electric Vehicle Salary Sacrifice Scheme
• Retailer discount and cashback platform

About our Client:

Our client is a Buy-to-Let specialist lender that has leading the way since its 2014. They are more than just a financial institution and are committed to using the power of data-driven insights to fuel innovation.

The office space features prayer rooms, breastfeeding rooms, and quiet spaces, ensuring that every individual has a comfortable and inclusive environment. Need some solo time for focused work? Discover the convenience of singular pods, offering a dedicated space for independent tasks.

Our client invites you to be a part of a community where your skills are valued, your growth is nurtured, and your contribution shapes the trajectory of the company.

About the Role:

We have a great new opportunity for a Compliance officer, part of a small Compliance team, which is part of the wider legal and compliance function. This is a superb opportunity for an ambitious individual, with a keen interest in developing their career and working for a reputable mortgage lender.

Focusing on carrying out compliance monitoring activities, the successful candidate will support the delivery of the Compliance Monitoring Plan, agree and monitor actions following the monitoring activity with key stakeholder in the business. You will also be responsible to produce Compliance Monitoring reports following the completion of any monitoring assignments and helping to protect the business from fraudulent activity.

Experience gained in a compliance monitoring or exposure to thematic reviews, within the mortgage or financial services sector will be essential.

Responsibilities:

• Carrying out monitoring activities in line with the Compliance Monitoring Plan and will include thematic reviews, regular ongoing monitoring activities and ad hoc reviews as and when required.
• Reporting on progress against the plan and highlighting/escalating any pressing concerns or trends.
• Support line management in understanding and implementing any agreed actions following findings of monitoring activities
• Completing monitoring activities in compliance with regulation, legislation, company policies and procedures
• Providing Compliance training as and when required
• Complete conveyancer and other third-party audits in line with agreed plan where required
• Handle internal and external queries and enquiries effectively, accurately, and professionally.
• Ensure records are updated and maintained in accordance within agreed policy and procedures
• Work to agreed objectives, service standards and deliverables whilst adhering to company and departmental policies and procedures
• Develop positive working relationships with colleagues and other departments
• Continually consider improvements for service and efficiency making suggestions on such improvement's through agreed channels
• Apply all aspects of the desired consumer outcomes of Treating the Customer Fairly and Consumer Duty
• Carry out ad-hoc tasks as required by management.

Experience required:

• Previous hands-on compliance experience from a Financial Services background
• Exposure to, or a strong understanding of thematic reviews.
• Mortgage sector exposure particularly in the buy to let sector is highly desirable, however will consider other regulated financial services backgrounds.
• Enthusiastic, flexible, and keen to learn and develop a career in Financial Services
• Excellent communication skills both written and verbal are essential
• Able to be self-managing in respect of scheduled workload
• A willingness to study a relevant professional qualification.

Trusting Stellar Select:

At Stellar Select, our commitment goes beyond recruitment; it's about crafting experiences that elevate your career journey. We take pride in delivering excellent services to our candidates and always going the extra mile to ensure your success.

Our foundation is built on openness and transparency. We believe in clear communication with everyone we work with, fostering an environment of trust, honesty and fairness.

Embark on your career journey with confidence, knowing that our services are designed with your success in mind. Here's what our complimentary service includes:

• Expert Consultants: We are your allies, dedicated to understanding your goals and guiding you toward success.

• 1-2-1 Experience Discussion: Your experiences matter. Engage in personalised discussions about your journey and how it aligns with the job role.

• Interview Preparation: Step into interviews with confidence. We provide thorough preparation to ensure you shine in every interaction.

• Negotiation of Job Offers: We'll manage the negotiations on your behalf, aiming for offers that align with your expectations.

• Recruitment Process Updates: No more uncertainty. We keep you in the loop with regular updates on your recruitment process.

For more information regarding the role of Compliance Officer please contact us

Stellar Select is acting as an employment agency and is a corporate member of the REC