Senior Compliance Analyst Job In Bingley

Senior Compliance Analyst


  • £37000 - £42000 per annum
  • Posted: 13/02/2019
  • Bingley
  • Job Ref: 048106583
  • Permanent

Job Details

Senior Compliance Analyst
Location: Crossflatts
Salary: £37,000 - £42,000 DOE

Job Outline:
Assist the Head of Operations in ensuring Operations adheres to legislative and regulatory requirements through proactive oversight.

Main responsibilities:
• Generally, support other members of the Operations team to ensure the effectiveness of oversight arrangements in compliance with systems and controls and other industry best practice
• Work with the material outsourcer to ensure their business processes support regulatory requirements (for example in respect of compliance with DISP, GDPR)
• In conjunction with the Head of Operations, define the scope and scheduling of quality assurance work to maintain compliance with regulatory expectations
• Ensure robust Root Cause Analysis (RCA) is undertaken in light of customer feedback, complaints and any other identified issues
• Attend monthly governance meetings
• Working with the Compliance team, develop and embed the First Line of Defence (FLOD) / Second Line of Defence (SLOD) framework
• Provide MI to support fortnightly governance meetings between the FLOD and SLOD teams, and generally provide input into MI on regulatory compliance matters for which the Operations team is responsible
• Act as a point of contact with the SLOD for communications involving regulatory related matters
• Oversee the adequacy of regulatory compliance training programmes and co-ordinate the provision of specific staff training to Operations team members where required
• Act as the Operations team's Risk Champion for regulatory and conduct related risks, and work with the Head of Operations to mitigate known risks by enhancing the control framework

Personal Skills & Experience Essential Desirable
• Internal and external stakeholder management
• Ability to perform under pressure
• Accountability
• Driven to provide right customer outcome
• Able to set and meet deadlines / time management
• Demonstrates methodical, structured approach with high attention to detail
• Pro-active
• Strong communication skills

Job related skills & experience
• Up to date knowledge of FCA regulation and all other relevant regulations, specifically Conduct Risk, Treating Customer Fairly, MCOB (Mortgage Code of Business), DISP, SUP and GDPR/DPA requirements
• Experience in a mortgage assurance role with good understanding of the mortgage process
• Able to interpret regulation and legislation requirements in a company business context
• Proven ability to exercise professional judgement and the ability to focus on critical factors to resolve complex situations
• Previous compliance assurance or similar experience, including overseeing a mortgage servicer
• Be able to take a holistic view of business or compliance issues to ensure that the impact, or unintended consequences (including conduct risks), are identified and understood
• Strong relationship management skills

Qualifications
• Educated to a good standard
• CeMAP Level 3 (would be desirable)
• A Level or equivalent

If the above is of interest to you, then please don't hesitate to contact Pertemps (Leeds) and ask for James Horton. Or, click to apply.