Financial Services
Glasgow

Compliance Governance & Risk Officer

Ref: 351| Posted: 10th Jul 20182018-07-10

Compliance Governance & Risk Officer required in Glasgow to:
  • Oversee the internal and external governance committees and ensure they are managed effectively.
  • Provide support to the Board, Exec, Senior Management teams and the Head of Compliance in respect of all formal governance matters, including the Board meetings.
  • Provide support and guidance to the Board, Exec, Senior Management teams and the Head of Compliance in respect of the internal and external Risk Management framework.
  • Assist the Head of Compliance in maintaining key internal policies. Deploy the Compliance approach in a way that meets obligations but supports the needs of the business and engages employees.
  • Be aware of regulatory initiatives / changes on the horizon and assist with the successful implementation of any changes.
  • Ensure company maintains compliance with all statutory and regulatory requirements.
  • Demonstrate commitment to appropriate customer outcomes and treating customers fairly.
 
ABOUT OUR CLIENT
 
Our client is a Glasgow-based Financial Services firm providing specialist lending across the UK. A dynamic organisation which can offer the right candidate an extraordinary career path within an environment of excellence and considerable potential.
 
THE SUCCESSFUL APPLICANT
 
  • Knowledge of Mortgage Lending / Servicing with an understanding of FCA regulations and governing bodies.
  • Understanding of the role of compliance within Financial Services and a knowledge of Governance systems.
  • Demonstrated ability to function in high volume / fast paced environment working with multiple and diverse responsibilities.
  • Excellent organisational skills and attention to detail.
  • Strong written, verbal and presentation skills with ability to communicate at all levels of the business.
  • Excellent interpersonal skills and ability to maintain discretion and confidentiality.
  • Demonstrated planning and analysis skills.
  • Ability to work independently as well as being part of a team
 
JOB DESCRIPTION
 
  • Organise and schedule all internal and external governance meetings.
  • Collate, verify and distribute documentation, including MI/reports and commentary, for all internal and external governance meetings.
  • Support the Compliance Officer in data protection, distribution and solicitor panel related matters.
  • Acknowledge, investigate and respond to complaints. Analyse and report findings. Maintain the firm’s complaints database.
  • Support the Compliance Monitoring Assistant in undertaking reviews in line with the Compliance Monitoring Programme.
  • Support the Head of Compliance in monitoring the company’s risk appetite, tolerances and limits.
  • Produce the TCF/Customer Outcomes scorecard and Risk Appetite Statement report.
  • Maintain the matrix of committee approved policies and procedures and ensure the current versions are published and previous versions archived.
  • Develop a strong working relationship with employees in order to maintain an inclusive and respected compliance support function.
  • Develop and maintain awareness of regulatory and legislative requirements, keeping abreast of forthcoming developments.
  • Manage individual workload, ensuring key deadlines are met and tasks are prioritised appropriately.
 
REMUNERATION PACKAGE ON OFFER
 
Competitive Salary & excellent benefits.