J2859 - Compliance Officer, Regulatory - UK, Gtr London / Surrey (Hybrid) - Asset Finance

Job title: J2859 - Compliance Officer, Regulatory - UK, Gtr London / Surrey (Hybrid) - Asset Finance
Contract type: Permanent
Location: Surrey
Function: Legal / Compliance,
Salary: Excellent salary, bonus and benefits
Reference: J2859
Contact email: careers@newleafsearch.com
Contact phone: 0203 740 7222
Job Published: August 26, 2022
Remote WorkingHybrid

Job description

​​J2859 - Our client is seeking a Compliance Officer, Regulatory to ensure the company complies with all applicable regulation, industry standards and best practice, code of conduct, local and applicable group policies and procedures. This role would suit a junior compliance officer or an individual with excellent business skills, ideally from a Customer Services, Lease Operations, or Sales Support background with a keen interest to work in Compliance,

Salary: Excellent salary, bonus and benefits. Location: UK, Gtr London / Surrey (Hybrid).

KEY RESPONSIBILITIES:

  • Attend departmental team meetings discussing & raising awareness of compliance topics including TCF & Fraud awareness.

  • Deliver compliance inductions to all new joiners.

  • Liaise with HR on the allocation of on-line compliance training.

  • Coordinate projects that relate to new regulatory rules. ​

  • Update & write internal compliance policies & procedures.

  • Carry out quarterly permanent supervision controls/checks.

  • Review controls in line with audit actions and update internal systems.

  • Assist with Data Protection and Operational Risk.

  • To help meet the FCA’s principle of TCF monitor customer feedback through returned customer surveys; investigating any negative feedback and collate quarterly reports for the board.

  • Assist with horizon scanning for regulatory changes, summarising FCA policy statements.

  • Ensure applicable introducers are set up correctly on Alfa system (e.g. set up to be able to introduce regulated business).

  • Send out policy guidance to applicable introducers where appropriate – Commission disclosures, ABC, Gifts & Entertainment

  • Answer queries from sales re regulated and exempt business.

  • As part of introducer monitoring and oversight, assist the Head of Compliance / Compliance Managers with creating or updating compliance surveys and collating the responses, updating comms to introducers.

  • Raising the agenda for the fortnightly compliance forum and minute taking of the meeting.

  • Send reminders out to the sales teams to coordinate customer audits.

  • Maintain Compliance spreadsheets.

  • Complaints monitoring/reporting.

PERSON SPECIFICATION:

  • Excellent verbal, written and interpersonal skills.

  • Methodical and has attention to detail.

  • Good time management and organisational skills.

  • Focused on providing excellent service to internal customers.

  • Ability to work under pressure and use own initiative.

  • Ability to identify and put forward new ideas for improvements.

  • A strong team player.

  • Pro-active and willing to be flexible in work required.

  • Conscientious and open to suggestions/ideas.

  • Willingness to learn.

We strongly favour applicants with proven, relevant experience in Financial Services; particularly in Asset Finance and Leasing.

Applicants will only be considered with relevant in-country experience.

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Consultant

Jane Theobald

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