Retail Compliance & Complaints Executive

Ladbrokes Coral
East London, UK
13 Aug 2019
04 Sep 2019
Contract Type
Full Time
Role Purpose & Key Responsibilities

We have a great role that would suit a self-motivated applicant with betting/gaming compliance experience who is ambitious, and detail orientated looking to continue or develop a career in an exciting and growing Compliance team.

The role has two main aspects:
  • Taking the lead on handling compliance complaints and queries;
  • Carrying out additional tasks required by the Head of Department across the spectrum of AML, Safer Gambling and Compliance.

Compliance Complaints & Queries

The role will primarily focus on taking the lead on and owning any escalated complaints or queries (including Subject Access Requests) that relate to Retail Compliance, AML, or safer gambling are investigated, responded to and reported on in a timely and professional manner.

Complaints or queries may come directly, for example, from customers, regulators, dispute resolution bodies, legal and other internal teams, including Senior Management.
  • Receiving incoming complaint/queries and thoroughly investigating the customer's history across Retail and Digital platforms to ensure all facts are known, and creating case reports and summaries.
  • Providing a high quality and considered written response to the originator of the complaint/query. This will include reporting outcomes to internal stakeholders, 3rd parties including regulators, and responding directly to customers.
  • Ensuring that all complaints and queries are logged, tracked and reported.
  • Using the findings from the investigations to provide input to the Retail Compliance team to address any process issues and highlight areas where improvements can be made.
  • Developing a thorough knowledge and understanding of the Retail Compliance & wider compliance team, the various customer facing Terms & Conditions, LCCP (Licensing codes), AML (Anti-money laundering) and CMA (Competition and Markets Authority) regulations and requirements.
  • Encouraging communication and collaboration across the business, team and stakeholders in order to build strong relationships and develop cross functional working.
  • Defining and optimising the department's response to complaints and queries, to ensure that it is streamlined, compliant and fit for purpose.

Compliance, AML & Safer Gambling Tasks

While handling complaints and queries is the primary focus of the role, the role holder will be required to undertake additional tasks by the Head of AML & Retail Player Protection (UK) and the wider Compliance Team as required. This can include, but is not limited to:
  • Contacting customers to interact or request further information from an AML & Safer Gambling perspective.
  • Assisting in the outputs of internal governance meetings.
  • Compiling regular internal reports.
  • Conducting Quality Assurance checks on the output of Safer Gambling & AML cases.
  • Supporting the Head of Department in Champion strategic direction of product development to ensure that AML, Safer Gambling and Compliance requirements are properly considered and delivered.
  • Involvement in developing internal training.

Qualifications & Educational Requirements
  • To Degree level or equivalent qualifications and/or experience.

Specialist Skills & Experience Required
  • Demonstrable experience of thoroughly and logically investigating information, with the ability to tailor report findings in writing and verbally to suit the audience (customer, regulator etc).
  • Experience of responding to escalations, complaints or regulatory queries preferred.
  • Previous/Current betting/gaming Compliance experience preferred.
  • Knowledge of the Gambling Act, Licencing codes of Practice and other Regulatory codes preferred.
  • Must be highly motivated, organised, accurate and detail focused
  • Must have analytical and excellent written and verbal communication skills - including comfort in communicating with customers
  • Must be able to work to strict deadlines and prioritise issues.
  • Ability to work unaided on own initiative and to challenge processes where improvements could be made.
  • Production of metrics/reporting to support compliance and business objectives.
  • MS Office skills essential

The Retail Compliance Team has three key functions:
Regulatory Compliance: Interpreting and implementing regulatory requirements relating to our UK betting estate, and working with regulators in respect of any Compliance matters which may arise. This includes regulatory reporting, and ensuring that marketing and promotions are compliant, that operating licences are in place and that those in key management roles hold the required personal licences.Anti-Money Laundering: Ensuring that we have effective policies and procedures in place to minimise and detect the use of criminal funds in our shops, investigating potential cases of money laundering, reporting to the appropriate authorities and responding to law enforcement requests.Safer Gambling: Working to promote a safer gambling experience for our customers, the team also works to detect customers who appear to be vulnerable and assist colleagues to protect those individuals. The team works to ensure that specific matters such as our Think 21 policy, customer in

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