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Compliance Lead (Monitoring and Assurance)

This role would be suitable for a person who wants to develop their compliance career with a company that is growing in a Compliance function that is intimately involved in the strategic and day to day direction of the firm. We are looking for an individual who has relevant knowledge and experience of the UK mortgage market from a regulatory and practical perspective. The role itself, while wide ranging in nature, will have specific responsibility for the delivery of individual reports as dictated by the Monitoring Plan. This entails review of specifically identified functions or business processes to ensure that relevant regulations have been identified, incorporated into policy and procedures and demonstrable through practical testing and analysis.

The ability to gather pertinent information effectively and efficiently and the production of comprehensive reports providing assurance that regulations have been adhered to correctly or setting out actions to bring the area into adherence, are key to the success of the incumbent. The ideal candidate should be capable of producing detailed reports that either demonstrate that the firm follows its regulatory responsibilities or through recommended actions will become compliant. The ability to develop and foster relationships with staff and senior management is also key to succeed in the role.


To apply, please submit your CV to our recruitment team at recruitment@enragroup.co.uk.

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Job Description

Key Accountabilities

  • Responsible for the successful execution of the compliance monitoring plan (CMP) for all subsidiaries of Enra Specialist Finance. The role requires proficiency in conducting compliance reviews including research and understanding of all applicable rules and legislation, preparing a scoping document, preparing tests, carrying out the tests, validating the findings with the business, writing the report with agreed recommendations and actions where relevant, finalising the report with the business and tracking any agreed actions through to closure. Effective engagement with business owners and stakeholders will be key to delivering a business focused and complementary compliance solution.
  • Responsible for the successful design and execution of breach closure assurance, (Assurance over previously closed breaches to ensure they breaches have not resurrected
  • This role will be responsible for the ongoing development of the compliance monitoring plan and will support senior management with maintaining the compliance risk assessments.
  • This role will champion operational resilience, looking for opportunities for improving technology through innovation and will find efficiencies that aid the customer journey
  • This role from time to time may also be an advisory one, dealing with compliance queries from all levels of the business, finding solutions to commercial problems and being hands on with identifying, owning, and progressing actions to help achieve compliance
  • Maintain key compliance registers such as the conduct risk register, breach closure assurance register, issues, and breaches log, PII oversight log, ICO licence oversight log
  • Maintain CMP procedures
  • Build and maintain strong business relationship with the business key stakeholders

Skills & Competencies

  • Preferably competent in FCA - PRIN, FIT, PERG, SYSC, MCOB, COCON, COND, TC, MIPRU, CASS, SUP, FC
  • Preferable experience with AIF’s
  • Excellent communication skills with all levels of staff are essential
  • Report writing is essential
  • Pass internal competency tests post induction
  • At least 3 years in a similar financial services compliance role
  • Experience in and knowledge of navigating and interpreting the FCA handbook
  • Experience in and knowledge of navigating and interpreting the GDPR and DPA
  • Analysis of Management information

Knowledge & Qualifications

  • IT literate with advanced Excel and PowerPoint skills
  • Minimum of 5 GCSE’s grade C or above
  • Ideally Educated to degree standard
  • Ideally hold a full CeMAP, ICA or equivalent or studying towards
  • Working for a lender or a brokerage is an advantage

Personal Attributes

  • Excellent report writing skills
  • Excellent communication skills
  • Excellent influence skills when dealing with senior management
  • Excellent analytical skills
  • Resilient and flexible
  • Personable and a Team Player both within the team and across the company
  • Approachable and self- motivated
  • Willing to lead and take responsibility for their role outputs
  • Ability to analyse and present complex information in a clear, relevant, and interesting way


How these will be demonstrated in the role

Teamwork

Demonstrating: ability to work in a team and being committed to achieving a common goal; ability to work not only within one’s own department but across functions and the organisation in order to achieve goals; ability to persuade and influence others.

Accountability

Demonstrating: a desire and drive for success; a determination to not only meet but exceed customer expectations and goals. Assuming full responsibility for the consequences of one’s behaviour or decisions. Completing work on time and within budget. Producing high quality work, with an attention to detail and accuracy, and in a compliant manner. Understanding one’s responsibilities, taking ownership of them and doing what is necessary to make them happen.

Customer focus

Focusing on the needs of individual customers and ensuring that we build our business around the customer. Using our experience and market knowledge to capitalise on opportunities and challenges; demonstrating a ‘will to win’ in the market through effectively managing risk. Developing solutions that enhance the organisation’s products, services and processes for the benefit of individual customers.

Integrity

Demonstrating: moral judgement and character, honesty and leadership values; an understanding of right from wrong and puts into practice. Treating others, the way one would like to be treated, and demonstrates respect; confidentiality in the workplace.

Creativity/ Agility

Demonstrating: the ability to be creative, flexible, adaptable to change, highly responsive to business needs and acting decisively; ability and confidence to make timely decisions within the scope of responsibility. Able to modify one’s behaviour to achieve a goal, as well as being able to adapt and add value through change.

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