Compliance Assistant

Compliance Assistant, you will be responsible for the management of compliance office activities for the Compliance team. This role is key in ensuring the Compliance team are able to offer and demonstrate independent second line of defence oversight and guidance to the business. It will ensure that regulatory requirements, terminology, methods and tools are fully understood and being used consistently and appropriately in the business

As a Compliance Assistant, we are looking for someone to:

• Complete Regulatory Horizon Scanning
• Support routine updates to the FCA and maintenance of the Regulatory Engagement Tracker
• Conduct oversight of compliance with the Senior Management and Certification Regime process for role applications and changes
• Investigate and respond to compliance-related incidents, including conducting breach assessments and oversight of breach closure
• Responsible for ensuring that key regulatory activities are carried out in line with the Compliance Calendar, including maintaining procedures and controls to support this
• Produce regular compliance MI to support Compliance reporting for Executive committees, Board and Risk Committees
• Ensure that the functions risks and controls are maintained and accurately reflected within the risk register
• Proactively identify operational improvements in the processes, controls and operating model for the wider Compliance function and own the successful implementation of these, delivering to a high standard

Qualifications

Essential

• A background in regulatory compliance within Financial Services, preferably in a mortgage environment
• A basic understanding of Financial Conduct Authority (FCA) as a regulator
• Excellent analytical and critical problem-solving skills
• Attention to detail and the ability to comprehend information thoroughly and understand its significance and take corrective action
• Ability to work autonomously, manage a diverse workload and meet competing deadlines
• Ability to communicate effectively at all levels within the business, both verbally and in writing
• Takes a proactive approach to quality and supports the delivery of quality across the team

Desirable

• CeMAP or compliance qualification
• Previous experience in a compliance/risk role

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