Compliance Analyst

Main Purpose of Role

Specialist Lending Ltd is an innovative specialist consumer lending business, trading as Duologi. We currently have a vacancy for a Compliance Analyst to support the Compliance Department with the performance of Duologi’s second line activities. Particular responsibility for delivering the firm’s compliance monitoring plan and, working closely with the business, ensuring close oversight is maintained of any subsequent action plans to drive continual improvement.

Main Duties (non-exhaustive)

This is an opportunity to join the Compliance Team of an established business. The role is broad in its scope, allowing you a chance to showcase your skills in several areas and will include the following responsibilities:

• Act as a champion for the delivery of the Compliance Monitoring Plan. This will involve conducting regular reviews of business areas, presenting findings to the business, agreeing any actions required, and overseeing the progress of actions to completion.
• Have input to the drafting of the annual Compliance Monitoring Plan to ensure key risk areas are identified and assessed periodically.
• Supporting the regular delivery of customer focused outcomes testing.
• Track implementation of compliance recommendations, actions and corrective tasks on relevant risk registers.
• Aid the production of regular MI to enable the business to manage its compliance risks effectively - contributing to the oversight the delivery of good customer outcomes. Where appropriate, participating in committees and working groups to represent a regulatory perspective.
• Providing expertise to the business by way of advice and guidance on relevant matters as they arise.
• Undertaking root cause analysis of breaches and incidents - assessing impact to prevent reoccurrence by strengthening controls, presenting these findings within the business as required.
• Aiding the business in understanding the application of, and complying with, Data Protection laws to ensure 'Privacy by Design’ is embedded within the firm.
• Providing day to day assistance to the Compliance Team to help it meet its objectives.

Person Specification

We are looking for candidates who want to make a difference and who likes to bring their ideas to the table.

• You will have proven experience of working in a Compliance or Risk role, in a financial services business (ideally in an audit or monitoring role) and have good knowledge and understanding of CCA/Consumer Credit legislation and FCA Regulations e.g. CONC, SYSC, DISP.
• You will have ideally worked in an unsecured lending / personal loans environment, being an advocate of good customer outcomes
• You will be able to communicate effectively with colleagues at all levels both verbally and in writing, using commercial awareness and emotional intelligence to build deep relationships
• Strong organisational skills and attention to detail. Hands on, capable of working multiple tasks at the same time and prioritising these appropriately
• Uses initiative, is proactive and seeks continual improvement
• Excellent standard of written and spoken English
• Good working knowledge of complete Microsoft Office Suite, Word, Excel, PowerPoint, Outlook
• Work in line with our company values

Benefits:

• 25 days’ holiday per annum plus 8 English bank holidays observed
• Company pension
• Life insurance
• Private medical insurance
• Work from home

The role is to be a temporary/fixed term contract basis, initially up to the end of December 2024, but there is potential to extend this as the year progresses. It is remote, but there may be occasions each month where the successful candidate will need to attend Duologi's offices in South East England.