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Compliance Monitoring Specialist (TD/SCH/CMS)




Job Location
- United Kingdom -- England -- Yorkshire and the Humber -- West Yorkshire -- Leeds

Job Type

11 January 2019

Compliance Monitoring Specialist

Location: Leeds City Centre

Salary: Competitive

Hours of Work: 35 per week, Mon-Fri, 9am-5pm

About the Company:

Our client’s company is the UK’s largest provider of genuinely free independent debt advice and managed solutions, helping 620,000 people a year resolve problems, repay debts and rebuild lives. They employ 1,500 colleagues and across their 25 year history they have helped millions of people to become debt free.

Following the last five years of sustained growth, they’re embarking on an ambitious three year transformation journey which will see them transforming the way they work, and help them to help even more people.

Compliance Monitoring Specialist Responsibilities:

  • Scope, plan and effectively lead or assist compliance monitoring review activity across the charity including its subsidiaries in line with the agreed compliance monitoring plan.  This will include identification of the technical requirements relevant to each review from both a regulatory and charity perspective.
  • Conduct / support thematic and other specialist or ad-hoc reviews in line with analysis of relevant MI, sector issues or areas of regulatory focus.
  • Identify through monitoring reviews and technical analysis any areas of non-compliance of relevant regulation / legislation / internal policy and report accordingly.
  • Conduct / support review meetings with key stakeholders to provide findings of non- compliance in a pragmatic way.
  • Develop and maintain effective relationships with colleagues across the charity to support and gain buy-in of compliance monitoring activity and outputs through effective influencing and negotiation, and to promote a positive compliance culture.

Compliance Monitoring Specialist Requirements:

  • Proven experience of working within a compliance monitoring role within a regulated financial services firm
  • A relevant compliance qualification would be an advantage
  • Excellent knowledge and understanding of the regulatory framework relevant to the wider charity including its subsidiaries to include a good working knowledge of PRIN, DISP, SYSC and TCF outcomes  
  • Strong specialist technical expertise gained within a previous role of at least 2 of the following disciplines:   
    • CASS, Financial Crime and AML
    • Insolvency to include IVA, Bankruptcy, DRO, PTD, Sequestration and DAS
    • MCOB and TC
    • Proven ability to conduct and deliver thematic and specialist compliance reviews including associated reporting and presentation of findings
    • Good awareness of the key regulatory hotspots within the financial services sector
    • High level PC literacy including a strong understanding of the MS suite
  • Highly numerate with the ability to analyse data and draw conclusions
  • As part of this role you’ll be required to Flexibility to travel to other charity sites across the UK and must be prepared to stay overnight if required.

Compliance Monitoring Specialist Benefits:

  • 24 days annual leave (this increases by one day per year up to a maximum of 29), plus bank holidays
  • The ability to buy and sell annual leave
  • Travel season ticket loans
  • Cycle-to-work scheme
  • Group personal pension scheme
  • Westfield Health cash plan
  • Employee assistance programme
  • Financial planning
  • Long service awards

If you meet the Compliance Monitoring Specialist requirements and feel the role would be a good fit, then please apply today!

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