Job Title: Compliance Officer
Location: Fleet with hybrid working post probation
Salary: Up to £35,000
Hours: Monday to Friday 9am-5pm
- 25 days annual leave plus bank holidays
- Holiday buy scheme
- 11% non-contributory pension scheme
- Private Medical Insurance
- Life Assurance 4x basic annual salary
- Company sick pay
- Income protection at 75% salary
- Enhanced pay for Maternity and Paternity
- Annual Discretionary bonus scheme
About the role Compliance Officer
We have a great new opportunity for a Compliance officer, part of a small but growing team of 3, 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 study professional qualifications.
Focusing on carrying out compliance monitoring activities, the successful candidate will support the delivery of the Compliance Monitoring Plan (by carrying out monitoring activities in line with the 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 essentials.
Responsibilities for the position of Compliance Officer
- 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 how to implement any agreed actions following findings of monitoring activities
- Monitoring compliance with regulation, legislation, company policies and procedures
- Providing Compliance training as and when required
- Ad hoc support to the wider Legal and Compliance Team as and when required.
- Monitoring activities completed in line with the Compliance Framework and recommended standards.
- 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 (TCF) and the Consumer Duty
Experience required for the position of Compliance Officer
- Compliance monitoring experience or exposure to thematic reviews is essential.
- 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.
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.
Due to a high volume of applications, we will only contact you if your application has been successful. We aim to contact all successful contacts within two business days.