Reporting to: Risk and Compliance Manager
Location: Hybrid with occasional visits to [TBC] Office
Hours: Full-time (37.5 hours a week)
Main Purpose of Role
To support the Compliance Department with the performance of Duologi’s second line compliance activities. Particular responsibility for delivering the firm’s compliance monitoring plan and, working closely with the business, ensuring close oversight is maintained of any subsequent action plans to drive continual improvement.
Main Duties (non-exhaustive)
This is an opportunity to join the Compliance Team of an established but growing business. The role is broad in its scope, allowing you a chance to showcase your skills in several areas across the business and will include the following responsibilities:
– Act as a champion for the delivery of the Compliance Monitoring Plan. This will involve conducting regular reviews of business areas, presenting findings to the business, agreeing any actions required, and overseeing the progress of actions to completion.
– Assist in the drafting of the annual Compliance Monitoring Plan to ensure key risk areas are identified and assessed periodically.
– Supporting the regular delivery of Customer focused outcomes testing.
– Track implementation of compliance recommendations, maintain the breaches, actions and risk registers.
– Aid the production of regular MI to enable the business to manage its compliance risks effectively. Where appropriate, participating in committees and groups to represent a regulatory perspective.
– Being a key point of contact between the business and the Compliance Department, providing expertise to the business by way of advice and guidance on relevant matters, primarily in the course of defined projects.
– Aiding the business in understanding the application of, and complying with, Data Protection laws to ensure ‘Privacy by Design’ is embedded within the firm.
– Providing day to day assistance to the Compliance Team to help it meet its objectives.
We are looking for candidates who want to make a difference and who likes to bring their ideas to the table.
– You will have proven experience of working in a Compliance or Risk role, in a financial services business (ideally in an audit or monitoring role) and have good knowledge and understanding of CCA/Consumer Credit legislation and FCA Regulations e.g. CONC, SYSC, DISP.
– You will have ideally worked in an unsecured lending / personal loans environment being involved in all stages of the customer journey and be an advocate of fair Customer outcomes
– You will be able to communicate effectively with colleagues at all levels both verbally and in writing, using commercial awareness and emotional intelligence to build deep relationships
– Strong organisational skills and attention to detail. Hands on, capable of working multiple tasks at the same time and prioritising these appropriately
– Uses initiative, is proactive and seeks continual improvement
– Excellent standard of written and spoken English
– Good working knowledge of complete Microsoft Office Suite, Word, Excel, PowerPoint, Outlook
– Work in line with our Company values
To apply, please click the below link and send your covering letter and CV along with your contact details.