Financial Services

Compliance Governance Assistant

Ref: 286| Posted: 21st May 2018

This vacancy is now closed
Working with, and reporting to the Head of Compliance, the Compliance Governance Assistant will
  • Support the Committee Chairs in ensuring the governance committees are managed effectively.
  • Providing administration services to the Exec and Senior Management teams in respect of all formal governance matters, including the Board meetings.
  • Assisting the Head of Compliance and Compliance Officer in promoting key internal policies and the Compliance management framework. 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, assist with the successful implementation of any changes.
  • Ensure the company maintains compliance with all statutory and regulatory requirements.
  • Demonstrate commitment to appropriate customer outcomes and treating customers fairly.
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.
  • 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.
  • Organise and schedule Governance and Board meetings, prepare agendas and take minutes.
  • Collate, verify and distribute documentation for Governance and Board meetings in a timely manner.
  • Book and prepare internal and external meeting rooms and arrange catering as required.
  • Support the Head of Compliance in tracking 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 achieved.
  • Develop a strong working relationship with company employees in order to maintain an inclusive and respected compliance support function.
  • Supporting the Senior management team in scheduling and submitting regulatory reports to the FCA via the Gabriel online system. 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.
Competitive Salary & excellent benefits.