Compliance Monitoring Officers
Our client is a leading and long standing retailer who represent many brands within their sector. They have grown significantly in recent years and are also listed on the London Stock Exchange. They are currently recruiting for a couple of Compliance Monitoring Officers.
- Handling FCA product related complaints in line with specific policy and procedures
- Carry out a mix of on-site and office-based file monitoring of compliance with sales process and record-keeping requirements for finance and insurance products; preparing feedback on outcomes for the management in the relevant dealership.
- Provide professional Compliance guidance and assistance to all staff in the group
- Contribute to the production and implementation of the Group Compliance Monitoring Program in a timely manner
- Undertake monitoring of the groups branches in accordance with the Compliance Monitoring Program, ensuring that all findings are documented and reported in a timely manner
- Provide occasional support to the Compliance Manager in F&I related administrative tasks such as providing weekly and monthly reports for the Regional Development Managers and Group
- Review and interrogate MI produced within the Compliance and Risk department
- Conduct thematic reviews when required
- Assist in providing the business with details of the corrective action required to remedy weaknesses together with any developments identified during compliance investigations and monitoring in a timely manner
- Good working knowledge on principle based, FCA regulation and handbooks
- Sound working knowledge of AML and DPA legislation and regulation
- Willing to travel across the UK including Northern Ireland and Dublin
- Strong organisational skills and attention to detail are essential in the role given the variety of responsibilities
- Excellent communication skills, demonstrating a successful blend of confidence and assertiveness when dealing with challenging individuals, but always with a friendly, approachable and polite manner.
- Full UK Driving License