Compliance Manager

☞ D&R Partners Recruitment Limited

View: 104

Update day: 11-06-2024

Location: Altrincham North West

Category: Legal / Contracts

Industry: Staffing Recruiting Banking Financial Services

Position: Associate

Job type: Full-time

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Job content

A leading Lending Specialist is looking for a Quality Assurance and Compliance Officer to provide assistance and support to the Compliance Team within a busy and dynamic consumer credit lending company.

The ideal candidate will have previous experience working within a compliance role ideally gained within a consumer credit environment and should have excellent communication, IT and organisational skills along with the ability to work to deadlines and have excellent attention to detail

Key Areas Of Responsibility

Complaint Handling
  • Undertake complaint handling in line with the Company’s Policy and Process, including Complaints from customers, third parties and the Financial Ombudsman.
  • Negotiate the best outcome in every situation considering the information available where necessary
  • Bring customer complaints to a swift, efficient and cost effective conclusion ensuring a fair customer outcome, whilst following the companies regulatory policies and procedures
  • Effectively draft and issue responses to complaints in a timely and efficient manner ensuring that the complaints policies is followed at all times and timelines are met
  • Maintain Complaint handling records.
  • Maintain Complaints Log.
  • Provide regular Management Information on Complaints.
Quality Assurance
  • Undertake quality assurance monitoring in line with the Company’s Policy and process.
  • Maintain Quality Assurance records.
  • Maintain Quality Assurance Log.
  • Provide feedback to employees in respect of Quality Assurance outcomes.
  • Provide coaching to employees in respect of Quality Assurance outcomes.
  • Provide regular Management Information on Quality Assurance.
Adhoc Duties
  • Adhoc duties as required by the Compliance Manager/ Operations Director
  • Demonstrate flexibility in an ever changing and improving environment, coupled with a positive attitude and a high standard of self-conduct.
  • Attend any meetings/training/seminars/conferences as requested by Operations Team and the Managing Director.
  • Undertake regular reviews of regulatory updates and bulletins
  • Any other responsibilities required to excel in the role.
These responsibilities may change depending on the business requirements you will be notified of any such change.

Person Specification
  • Have relevant experience gained in a similar role within a consumer credit or FCA regulated organisations;
  • Have a sound knowledge of FCA rules and supporting FCA documentation, Data Protection legislation and the Financial Ombudsman Service;
  • Have effective communication skills both oral and written;
  • Excellent customer service and complaint handling skills;
  • Experience of producing management reports and analysing data;
  • Be an excellent team player with the ability to work on own initiative;
  • Be proficient in Microsoft Office including Word, Excel, Powerpoint and Microsoft Outlook’;
  • Be able to adapt to and embrace change within a dynamic organisation and regulatory environment;
  • Be flexible with the ability to work well under pressure and deliver to strict deadlines;
  • Have excellent attention to detail;
  • Have a solid educational background.
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Deadline: 26-07-2024

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