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Part-time Compliance & Complaints Officer

Nicholas Howard
Job LocationSheffield
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , part-time

Job Description

Nicholas Howard are delighted to be recruiting for a new and exciting role as a part-time Compliance & Complaints Officer.Our clients group is a dynamic, credit orientated lending business which is backed by one of Australias largest investment banks and majority owned by management. The company primarily serves customers that fall outside mainstream lenders criteria, makingit a very interesting segment to serve.Job Overview:The role is based within the Mortgage business of the group and would be reporting directly to the Chief Compliance Officer.The role holder will undertake day to day financial crime management, compliance monitoring and complaints handling activity.Position Description:Core Responsibilities:

  • Undertake designated financial crime management activities under the supervision of the Chief Compliance Officer (in their role as BMLs MLRO)
  • Undertake Second Line of Defence Compliance monitoring activities, report your findings to line management and provide management information to the Companys Regulatory & Compliance Committee.
  • Jointly manage the vaulting of required call recordings for the Company.
  • Joint responsibility for maintaining all information and correspondence relating to complaints on the Companys Zendesk complaints database.
  • Handling customer complaints effectively through to resolution; and making appropriate recommendations for a final decision on the merits of the complaint.
  • Ensure adherence to the Companies internal complaints procedure and that appropriate complaint records are completed and maintained.
  • Assist in the production of the periodic root cause analysis of complaints received and prepare findings in a periodic report to Senior Management.
  • Support the Companys Chief Compliance Officer as required.
Skills & RequirementsEssential:
  • At least 1 years experience in an independent Quality Assurance or Compliance role and/or 1 years mortgage complaint handling within a FCA regulated financial institution.
  • A good understanding of MCOB, DISP, and general FCA requirements, Data Protection legislation and the Financial Ombudsman Service.
  • Good written and verbal communication skills.
  • Good problem solving and investigative skills.
  • Good organisational and administrative skills with a proven ability to prioritise tasks.
  • The ability to work both on an independent basis and as a team-worker who must be able to build working relationships and interact with colleagues across the Company.
  • MS Office and/or Google proficient.
Desirable:
  • At least 2 years experience (or deemed equivalent) in a regulated mortgage operations role such as lending or servicing.
  • An understanding of financial crime issues that face a mortgage lender.
  • Experience of anti-fraud tools such as CIFAS, SIRA, Hunter and PEPs and Sanctions screening.
To be considered for this position please apply below.

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