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- Tasks: Support compliance monitoring and ensure adherence to FCA regulations while delivering impactful outcomes.
- Company: Join a leading group in the financial services industry with a focus on compliance.
- Benefits: Hybrid working, competitive salary, and opportunities for professional growth.
- Why this job: Make a difference in compliance and help shape best practices in a dynamic environment.
- Qualifications: Experience in financial services and strong understanding of FCA regulations required.
- Other info: Collaborative team culture with opportunities for special projects and investigations.
The predicted salary is between 36000 - 60000 £ per year.
This is a hybrid opportunity - Milton Keynes/home-based, with travel to other Group offices or locations as required. Your role will be to support the Compliance Monitoring Manager in the delivery of second line monitoring across the Connells Group, by undertaking a range of Compliance monitoring activities as set out in the Compliance Monitoring Plan (the 'Plan'), or as otherwise directed. You will provide challenge as to whether Group policies, procedures and controls meet the Financial Conduct Authority (and other relevant regulatory) rules and guidance and deliver appropriate outcomes for customers.
Responsibilities
- Work with and support Group Head of Compliance Monitoring and Oversight and Compliance Monitoring Manager on special projects/investigations.
- Assist in the training and development of the team.
- Review and update at least annually the Compliance Monitoring Procedures and Templates.
- Assist in the annual planning and preparation of the Compliance Monitoring Plan.
- Undertake Compliance Monitoring reviews in line with the approved methodology that focuses primarily on FCA regulations and measurement of fair outcomes for customers.
- Prepare regular, timely, relevant and concise reporting on the findings for management, including recommendations for addressing any weaknesses.
- Track and report on the progress of remedial actions and where appropriate, guide management in implementing necessary improvements.
- Assist in preparing reports for the Board and other Committees on findings from monitoring work and how the business responds to issues identified.
- As required, act as 'Lead Monitoring Officer' to manage specific reviews and coordinate the activities of other Monitoring Officers in relation to that work.
- Work closely with key business areas and stakeholders to ensure monitoring activity is completed and delivered with minimal interruption to the business area under review.
- Highlight and record lessons learned for sharing across the Group.
- Keep abreast of best practice and external developments in the area of monitoring and ensure that learning is applied.
- Undertake special investigations as required in response to breaches or other issues arising.
Qualifications
- Relevant experience within the Financial Services industry, with knowledge of mortgage and protection services and possess a sound understanding of FCA Regulation, including MCOB, ICOBS and DISP.
- Relevant experience within the Estate Agency and Lettings industry, with knowledge of The Property Ombudsman and the Codes of Practice for Residential Estate Agents and Residential Letting Agents.
- Excellent knowledge of current regulatory environment, relevant regulations, and industry best practice in relation to compliance monitoring tools and techniques.
- A team player, with the ability to work unsupervised.
- Ability to build strong and effective working relationships with Stakeholders, including but not limited to Internal Accountable Executives, Group Internal Audit, and External Auditors.
- Ability to assess the impact and relevance of issues and articulate them in a clear and precise manner whilst ensuring a commercial approach is maintained.
- Attention to detail and ability to deliver high quality written work and reporting.
- Articulate, confident communicator and presenter.
Deputy Compliance Officer in Milton Keynes employer: Connells Group
Contact Detail:
Connells Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Deputy Compliance Officer in Milton Keynes
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance practices. Be ready to discuss how your experience aligns with their needs, especially around FCA regulations and monitoring activities.
✨Tip Number 3
Showcase your skills during interviews! Bring examples of your past work, especially any compliance monitoring projects you've led or contributed to. This will help us see how you can add value to our team.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in joining our team.
We think you need these skills to ace Deputy Compliance Officer in Milton Keynes
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your relevant experience in compliance monitoring and the financial services industry. We want to see how your skills align with the role of Deputy Compliance Officer, so don’t hold back!
Showcase Your Knowledge: Demonstrate your understanding of FCA regulations and compliance monitoring tools in your written application. We’re looking for candidates who can articulate their knowledge clearly, so make it shine through your writing!
Be Concise and Clear: When preparing your application, keep it concise and to the point. We appreciate well-structured documents that are easy to read, so focus on delivering high-quality written work that reflects your attention to detail.
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. We can’t wait to see what you bring to the table!
How to prepare for a job interview at Connells Group
✨Know Your Regulations
Make sure you brush up on FCA regulations, especially MCOB, ICOBS, and DISP. Being able to discuss these confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Showcase Your Experience
Prepare specific examples from your past roles that demonstrate your experience in compliance monitoring and how you've contributed to improving processes. This will help you illustrate your value to the team.
✨Be a Team Player
Highlight your ability to work collaboratively with various stakeholders. Share instances where you've successfully built relationships or worked on projects with others, as this role requires strong teamwork.
✨Prepare for Scenario Questions
Expect questions that ask how you'd handle specific compliance issues or challenges. Think through potential scenarios and how you would approach them, focusing on your analytical skills and attention to detail.
