Our client, a relatively small but fast growing mortgage lender, is looking to add to their Compliance & Legal team in Glasgow. The Senior Compliance Officer reports to the Head of Compliance and Legal on a day-to-day basis and works alongside a second Senior Compliance Officer. It is an exciting time to join the business with a lot going on. The culture is entrepreneurial in nature and really values staff with ideas and who are willing to ask questions and challenge the status quo.
This role would suit someone with an interest in broadening their Financial Services compliance experience, who is keen to get involved in a range of areas and happy to roll their sleeves up to work as part of a dynamic team. The Head of Compliance & Legal is keen to play a direct role in the development of whoever comes on board a fantastic opportunity to learn a lot, quickly.
The main objectives of the role are:
– Assist the Head of Compliance & Legal in promoting key internal policies and the overall Compliance & Legal management framework.
– Deploy the Compliance approach in a way that meets obligations but supports the needs of the Company and engages employees at all levels.
– Be aware of regulatory initiatives / changes on the horizon and assist with the successful implementation of any changes.
– Through appropriate Compliance and Legal activities, ensure the Company is compliant with its statutory and regulatory requirements.
– Demonstrate commitment to appropriate customer outcomes and treating customers fairly.
– Act as the Head of Compliance & Legals deputy in the Companys governance committees
Specific responsibilities of the role include:
– Ensure the company remains ahead of regulatory and legislative changes by keeping abreast of forthcoming developments, assessing their risk / impact and communicating these effectively in a timely manner;
– Support any required changes to business policies and procedures as result of forthcoming regulatory, industry and / or strategic developments and assist the management of these through to implementation;
– Review and approve all customer-facing and corporate literature, policies, letter / statement templates, telephony scripts and branded marketing material;
– Oversee accurate and timely submission of reporting to UK Finance and IMLA;
– Support the implementation of the Companys strategic initiatives/projects from a compliance/legal perspective;
– Attend industry trade body meetings and engage with them or relevant matters when required;
– Represent Compliance & Legal at internal change control meetings and provide feedback and approval on change matters as appropriate;
– Develop a strong working relationship with the Companys employees to maintain an inclusive and respected Compliance support function;
– Manage individual workload, ensuring key deadlines are met and tasks are prioritised appropriately.
To be successful in the role you should have:
– Relevant Compliance experience at Officer level (minimum 5 years).
– Demonstrated ability of working with regulatory documentation.
– Educated to degree level.
– Experience in Mortgage Lending / Servicing with an in-depth knowledge of UK and European compliance and regulatory laws.
– Thorough understanding of compliance monitoring systems.
– Representation of the company in meetings with internal and external stakeholders.
– Demonstrated ability to function in high volume / fast paced environment working with multiple and diverse responsibilities.
I this sounds of interest to you please get in touch.
Adam Appointments is the only Scottish agency specialising exclusively in Corporate Governance recruitment.