Compliance Monitoring Associate

Competitive | Sundridge | Permanent
Posted 29 days ago

Compliance Monitoring Associate
Sundridge, Kent

Reporting to the Compliance Team Manager

This role is part of the Compliance team, and involves the monitoring of the activities of the business, its business partners and introducers. The sole purpose of the Compliance Monitor is to ensure that all business processes are compliant, and to produce, manage and implement a plan of action to resolve any issues and IT failings.

Reporting to the Compliance Team Manager.

Attention-to-detail and accuracy is a prerequisite, as well as ensuring that the Company’s processes and procedures are followed. The role would involve development and improvement of the Company’s quality framework and promotion of adherence to all legal, regulatory and Company standards.


The key aspects of the role:
• To monitor the regulatory requirements of each Blue Motor Finance department
• To provide a business-friendly and approachable service to the business teams whilst maintaining the necessary independence
• Work with the business to undertake the programme of compliance monitoring activities, including writing reports and recommendations and following up on agreed actions
• Identify any issues within department processes, as well as any IT failings within the company
• Produce and present new processes to Head of Departments, manage the end-to-end implementation
• Compile and present compliance reports to Head of Departments
• Maintain all information, data and records within Compliance to ensure information is readily accessible, searchable and up-to-date
• Provide Compliance Induction Training to new starters
• Assist in the preparation of monthly compliance reports
• Maintain up-to-date knowledge and awareness of forthcoming regulatory changes
• Frequent review of operational processes and procedures as required
• Ability to act on your own initiative
• Keep up-to-date with the Company’s products

Knowledge, skills and experience required

• Educated to degree level or equivalent
• Studies / examinations in compliance-related subjects
• Computer Literate, including MS office products and Email

• Previous working experience within a regulatory body
• Previous experience within a Compliance Monitoring role
• 1-2 years previous financial services experience – preferably in a consumer finance environment
• Knowledge and experience of TCF principles and practices
• Knowledge and understanding of working in an FCA regulated environment
• Proven ability to write detailed policies and procedures
• Strong evidence of experience in the review of policies and processes
• Experience of working in a team in an office environment
• Knowledge of treating customers fairly (TCF)
• Awareness of current FCA and Consumer Credit legislation and regulations
• Ability to understand and comply with documented policies and procedures
• Excellent verbal and written communication
• Previous experience of Gabriel and Connect systems is desirable

• Adaptable and flexible
• Awareness of operational and Business risks
• Ability to work as part of a team but independently, and with own initiative
• Investigative skills; able to read between the lines
• Analytical and methodical approach
• Self-starter and highly-motivated
• Results-oriented
• Ability to work to deadlines
• Observant and resourceful, with the ability to see “Red-flags”
• Problem solving abilities
• Excellent planning and organisational skills
• Enthusiastic ‘can do’ attitude
• Able to work under pressure, and the ability to multi task
• Accuracy and attention-to-detail
• Represent the Company in a professional and confidential manner at all times
• Professional and well-presented
• Ability to establish effective working relationships and ability to engage with the full range of business
functions particularly in order to carry out the monitoring work
• Customer focussed approach

Additional information

• Permanent / 37.5 hours a week
• Must be able to reliably commute to office

For more information about this role, please contact:

Sarah Chatt
07887 510 355

See Sarah Chatt's jobs
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