Group Compliance Coordinator recruitment
The primary focus of this role will be to:
• Assist the Head of Group Compliance in fulfilling compliance objectives;
• Responsible for maintaining and reviewing key compliance records;
• Responsible for key Group Compliance processes such as:
o Collating and analysing MI as required by the business
o Undertaking and overseeing FSA/DPA Register checks
o Training Competence support and facilitation of Complinet Training
o Oversight of all regulatory reporting
o Maintenance and oversight of compliance Intranet Page
o Facilitation and delivery of Compliance Induction training
• Assist in the coordination of key Group Compliance Projects.
The above list is not exhaustive and tasks will be allocated as required by the wider business needs and responsibilities of the Group Compliance Function.
KEY TASKS AND ACCOUNTABILITES : Typical KPIS and Targets
Impact on the Business
• To assist in continually reassessing compliance risks inherent to the business
• To assist with addressing concerns from business areas and resolve problems, seeking assistance where required
• To assist the Head of Group Compliance in preparing periodic reports to management as required
• Undertake tasks as identified and/or as directed
• Contribute to ensuring that the Annual Plan is completed within target timescales
• Reports to be completed within agreed timescales and in a format which meets business needs
Customers / Stakeholders
• Research, identify and disseminate information on key regulatory/FSA developments
• Collate the information required to complete and submit the RMAR twice yearly
• Maintain an effective relationship with staff within businesses, assisting them to comply with the relevant regulations
• Adopt a constructive approach to relationships
• Ensure understanding of the impact of risks / regulations on own role
• Develop business awareness to provide an effective service without problems
• Respond promptly to all requests
• Communicate clearly and effectively on the telephone, in person and in writing
Evidence of:
• identification of issues identifying and fostering opportunities for personal growth
• achieving high standards
• proactive contributions and support for operational initiatives
• tasks completed satisfactorily
• positive feedback
• demonstrating initiative
Operational Effectiveness Control
• Produce and analyse the RMAR for Clients and collate the responses of the other regulated entities within the Group
• Day to day recording and oversight of central Group Compliance records, ensuring timely resolution of issues
• Escalate to management all material breaches and incidents, potential incidents and other compliance issues of significance
• Manage the company’s Licences
• Tracking recommendations through to completion of compliance projects when requested by Head of Group Compliance
• Tasks completed within agreed timescales
• Prioritization of tasks / project work
• No justified complaints attributable to service
• Ad hoc examples of initiatives / support provided
• Communicate clearly effectively
• Recommend improvements where non compliance is identified
• Demonstrate effective time and workload management
• Timely renewal of licence
Education and Qualifications
• MS Office Advanced for Word
• MS Office intermediate for Excel
• MS Office intermediate for PowerPoint
Experience and Knowledge
• Able to demonstrate some knowledge of Treating Customers Fairly
principles
• Some experience in a regulatory environment would be advantageous
Skills and Aptitudes
• Professional and forward-thinking
• Able to propose practical ways of implementing change
• Ability to communicate positively and effectively
• Clear thinking and articulate
• Excellent organisational skills
You must also be able to demonstrate good communication skills along with a real drive and determination to progress within a progressive organisation. If you believe that you are appropriate for this role, please forward your CV accordingly to Oliver@niyaapeople.co.uk or 0121 773 0966
Niyaa People represent Banking Financial Services professionals seeking freelance or permanent employment across the UK from our Birmingham office. We deal with a range of small, medium and large Banking, Financial Services and Insurance Organizations.