Compliance & Complaints Officer – Sheffield – Permanent
Nicholas Howard are delighted to be recruiting for a new and exciting role as a Compliance & Complaints Officer.
The role is based in Sheffield with some travel expected to London from time to time. A portion of time will be ‘work from home’ if desired.
This a Financial Conduct Authority Conduct role.
The role holder will undertake day to day complaints handling and compliance monitoring activity.
- Undertake designated Second Line of Defence monitoring tasks for the Company.
- Perform Compliance monitoring activities, report your findings to line management and provide management information to the Company’s Regulatory & Compliance Committee.
- Manage the vaulting of required call recordings for the Company.
- Assist the Compliance & Financial Crime Business Partner at monthly call calibration sessions with the Company’s operational functions.
- Responsible for maintaining all information and correspondence relating to complaints on the Company’s Zendesk complaints database. Handling customer complaints effectively through to resolution; and making appropriate recommendations for a final decision on the merits of the complaint.
- Ensure adherence to the Companies’ internal complaints procedure and that appropriate complaint records are completed and maintained.
- Undertake periodic root cause analysis of complaints received and prepare findings in a periodic report to Senior Management.
- Support the Company’s Compliance & Financial Crime Business Partner as required.
Skills & Requirements:
- At least 1year’s experience (or deemed equivalent) in a Compliance role and / or 1 year’s mortgage complaint handling within an FCA regulated financial institution.
- A good understanding of MCOB, DISP, and general FCA requirements, Data Protection legislation and the Financial Ombudsman Service.
- Good written and verbal communication skills.
- Good problem solving and investigative skills.
- Good organisational and administrative skills with a proven ability to prioritise tasks.
- The ability to work both on an independent basis and as a team-worker who must be able to build working relationships and interact with colleagues across the Company.
- MS Office and / or Google proficient.
- At least 2year’s experience (or deemed equivalent) in a regulated mortgage operations role such as lending or servicing.
- An understanding of financial crime issues that face a mortgage lender.
- Experience of anti-fraud tools such as CIFAS, SIRA, Hunter and PEPs and Sanctions screening.
To be considered for this position please apply below.