Compliance Monitoring Consultant
Skipton Principle Office, The Bailey
Skipton, North Yorkshire, BD23 1AP
Hours of Work: 35 hours per week, Monday to Friday, 9am to 5pm
Salary: Dependent on Experience
A fantastic opportunity has arisen to develop your career in Compliance.
Compliance Monitoring are responsible for providing assurance to the senior leadership team, including the Board, that the Skipton Group are adhering to FCA regulatory requirements, particularly the fair treatment of customers. In this role you will be responsible for, alongside other members of the Compliance Monitoring team, performing thematic and customer outcome testing monitoring reviews in line with the Annual Compliance Monitoring Plan. This will involve the planning; fieldwork and reporting for these reviews, whilst working closely with our colleagues in the Society and Group through all stages of the review.
You may have the relevant qualifications with a desire to increase your knowledge and skills in assurance work; or have the relevant qualifications and working in a risk focussed role already. We are interested in candidates with a strong desire to ensure the right outcomes are achieved for our customers, who are inquisitive and have a willingness to learn and develop within the role.
We are looking for a person who wants to open doors to countless future career opportunities, whilst building on current risk and compliance experience. This is a fantastic opportunity for a self-motivated, customer focussed individual to help with the delivery of the Annual Compliance Monitoring Plan.
We also have a competency structure in place to support team members who wish to obtain further relevant professional qualifications.
This is a role with considerable variation and the ability to help shape Society wide processes and procedure that impact on both colleagues and customers and bringing great opportunity for personal development. The reviews we carry out include Pension & Investment Advice, Mortgage Advice & Underwriting, Savings, Operations, Complaints Handling and Financial Promotions as well as many others.
The role has an impact on the business by influencing decisions through the delivery of recommendations. Responsibilities include:
- Contribute to the delivery of the Annual Compliance Monitoring Plan by producing quality reviews within
agreed Service Level Agreements (SLAs);
- Manage and prioritise own workload, taking into account the team’s SLAs and own Key Business Priorities (KBPs);
- The provision of advice and guidance to the Society and its subsidiaries on actions required to achieve compliance with prevailing regulatory requirements and Codes of Practice as
part of recommendations in Monitoring reports;
- Contribute to the development and maintenance of strong working relationships with key contacts
in Society and Group;
- Reporting to management on levels of compliance assurance or issues arising through specific monitoring activity;
- Work closely with the Compliance Monitoring Manager/ Senior Compliance Monitoring Manager to
continually improve processes and systems for Compliance reviews, with an emphasis upon business service levels, productivity, efficiency optimisation, customer service focus and the long-term benefits for the Society and its subsidiaries;
- Responsible for own personal development including keeping up to date in respect to all relevant
sections of the FCA Handbook including the key aspects of BCOBS, COBS, ICOBS, MCOB including sales process, key elements of SYSC/FIT/APER, Training and Competence.
The ideal candidate will have a passion and focus on making sure that the right outcomes are achieved for our customers. A willingness to learn and develop within the role is essential.
You will have the ability to develop great working relationships and influence colleagues across the business. You will also have a strong eye for detail and organisational skills to deliver high quality reviews within the allocated timeframe and the ability to manage your own workload.
Experience across relevant product and service areas, with technical knowledge across FCA handbook areas is desirable. Level 4 Diploma in Financial Planning is a requirement and CeMAP or equivalent qualifications are also desirable.
About Skipton Building Society
At Skipton Building Society we are not just another Financial Services Institution we are a mutual organisation, which means we are owned by our members and believe in placing them at the heart of everything we do. The same goes for our people. We can only be successful as a business if we have great people and we believe in treating people as individuals. Our values are Trust, Ownership and One Team which reflect the attitudes and way of working everyone here displays on a daily basis, and which are key to the delivery of the outstanding level of personal service we offer our customers.
We’re committed to creating a diverse and inclusive workplace where every colleague has an opportunity to fulfil their career potential. We respect and appreciate the value that our colleagues’ unique differences can bring and offer consideration for anyone seeking a more flexible work-life balance. If you have a need for flexibility then please let us know.
In return for all your hard work and commitment, you will get the support and recognition you deserve. You can expect a structured training and development programme tailored to your needs. You will also be eligible for the following:
- Competitive Employer pension contribution
- Private medical insurance
- Company paid life assurance scheme
- Company paid Group Income Protection scheme
- 25 days holiday (plus bank holidays and the opportunity to participate in the annual Holiday Trading Scheme to buy/sell extra days)
- Annual discretionary bonus scheme
- Childcare vouchers
- Volunteering days
- Colleague discounts at a range of UK wide retailers, including holidays, restaurants, fashion, days out and more. Accessible via an online platform and mobile app.
- Discounts/cashback on selected products and services
- Employee Assistance Programme
- Diverse culture
Skipton are an equal opportunities employer and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age