First Line Compliance Officer

Job Type:
Job Sector:
Financial Services
North West
Salary Description:
£24,000 DOE + bonus
Job Ref:

Are you an experienced and passionate compliance or auditing professional, looking to further your career? If so we are now recruiting and are looking for individuals just like you!

What can we do for you?

- Highly competitive salary of £24,000 per annum
- 40 hours per week
- 30 days holiday including Bank Holidays
- Healthcare plan
- Life Assurance
- Salary Extras
- Workplace pension
- Zest

First Line Compliance Officer Responsibilities:

As our First Line Compliance Officer, you will be supporting the First Line Compliance Team Leader and taking on the following responsibilities:

- Oversee the unsecured call audits process, prioritising the team workloads to ensure targets are met each month
- To highlight issues to the Team Leader in order to reduce the risk to the business & ensuring that regulatory results are at an acceptable level.
- Report findings to the Team Leader to reduce risk throughout the business and improve processes to increase business and customer outcomes
- Keep up to date with regulatory changes that affect the business
- Producing MI in order to assist the Manager to prepare Board packs, TCF reports and assess potential risks within the business
- Responsible for the initial and ongoing supervision of the trainee Agents & sign off; ensure role plays completed and audited before Agents are allowed to trade
- Acting as a point of contact and provide compliance advice for the Unsecured journey
- Supporting the First Line Compliance Team Leader and deputise in his/her absence
- Achieve personal weekly/monthly KPIs and any additional targets.
- To follow FCA guidelines and regulations and keep up to date with regulatory changes.
- Demonstrate excellent administration skills with good attention to detail
- Ensure the audit process is followed and feedback is delivered in a timely manner.
- Ensure all file checks are completed in accordance within SLA's and remedies are distributed.
- Monitor and analyse compliance data, produce monthly MI packs, ad hoc reports and identify potential issues and trends.
- Act as a point of contact and provide compliance advice, guidance and training as required.
- Encourage best practice of internal procedures when analysing noncompliance incidents and implementing a "right first time" culture.
- Assist and work with the Training Department and Managers to help create & deliver relevant training to the agents, advisors, processors and support staff

The ideal First Line Compliance Officer:

To be successful as our First Line Compliance Officer, you will have a good knowledge of the FCAs hand books MCOB, CONC & an understanding of TCF, Risk awareness & Complaints. You will also need to possess:

- Good level of Maths and English
- Good knowledge of unsecured and & second charges in a sales environment
- Professional and confident, able to work as part of a team
- Ability to communicate effectively both orally and in writing
- Display excellent attention to detail, able to work under pressure, multi task and act on own initiative
- Strong interpersonal skills with the
- ability to communicate with patience
- Self-motivated & hard working
- Positive and flexible attitude

Who are we?

Established in 2007, Freedom Finance offer solutions in the personal finance market and strive to offer customers a better way to shop for loans. We believe that our people are our most important asset and that our people are what makes the busineThe vacancy you have applied for is being advertised by CVWOW Ltd, the UK's leading, award winning recruitment specialist. No terminology in this advert is intended to be deemed discriminatory. We are happy to accept applications from all suitably qualified persons regardless of their age, gender, race, religion, disability, sexual orientation or marital status. Full terms and conditions of the CVWOW business can be found on our website.

Contact Details:
Tel: 02392856811
Contact: Danielle Field

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