Compliance Officer - City, Birmingham, United Kingdom, B1


Compliance Officer.

The role will require you to be responsible for ensuring that all policies, processes and procedures conform to the relevant regulatory standards of the industry and that all members of staff comply with policies, processes and procedures. The Company applies regulated standards across all its business lines and the role will be responsible for ensuring that this standard is maintained as the business develops.

Duties will include:

  • Develop, initiate and maintain a compliance programme governing the operations of the company
  • Conduct audits of files
  • Work with the sales and operations teams to ensure staff understand and comply with company policies, processes and procedures
  • Remain current with changes in regulations and best practice across the industry, advising the Board on any changes
  • Ensure all company documentation remains compliant
  • Develop and monitor training plans with HR to ensure all staff remain current and competent in their work
  • Maintain and deliver induction training courses to new starters or those requiring retraining
  • Maintain an independent approach, ensuring that any compliance or good practice issues or concerns are identified, resolved professionally and reported appropriately
  • Report to the Operational Board on Compliance issues at quarterly meetings
  • Support the Finance Director with investigating and recording complaints

Key skills and experience required:

  • Appropriate professional qualification, ideally with a financial/business management orientation
  • Experience of auditing files and reporting
  • Experience in the Financial services Industry, either with a national lending institution
  • Sound communication skills (written and oral) and proven presentation capability
  • IT literacy