Compliance Associate

Reports to
Compliance Manager (Operations)

Location
Leeds

Package
From £21,000 - £23,500 and comprehensive benefits package.

Hours of work
37.5 Per week (Hours of work will be flexible and dictated by the needs of the business, therefore it is expected that the successful applicant will work those hours necessary to successfully discharge the duties of the role).

Not your typical financial services firm…

Established in 2004, Age Partnership has held true to its pledge to improve the markets in which we operate for the benefit of customers. We do this by delivering world?-?class customer experiences, continually innovating and embracing digital technology to make dealing with the company both efficient and engaging.

At Age Partnership we accept nothing other than being the best at what we do, and this objective is reinforced by an environment in which colleagues are encouraged to engage, to learn and to flourish. Significant in?-?house training and development facilities and empowerment of colleagues are just a couple of components that have helped this culture to thrive.

We strive in becoming a household name that is synonymous with excellence. Added to this we want to work, collaborating with all our partners and suppliers to enable our customers benefit from the relationship. It sounds simple but it needs to be worked on to achieve.

The role

Overview

To support the business in ensuring it complies with its obligations in relation to the regulatory bodies such as the FCA and ICO.

The successful candidate would be provided with the relevant support and training to conduct their role.

Primary responsibilities are to:

• Support the team with the identification, investigation and response to complaints

• Undertake elements of the compliance monitoring plan across all areas of the business

• Assist the business responding to queries submitted into the central Compliance inbox
• Assist with the development of documented processes and procedures across the business, encompassing the identification of risk and controls and monitoring adherence

• Reporting any issues and/or risks to the Compliance Manager (Operations) as agreed.

Key Outputs

Work with Compliance team colleagues to:

• Identify and acknowledge new complaints, liaising with customers and colleagues as necessary

• Support the business to take opportunities for swift, informal resolution of complaint matters where appropriate

• Acknowledge and investigate complaint matters keeping all stakeholders appropriately updated

• Respond to and resolve complaint matters within appropriate timescales, including further correspondence following final response letters

• Conduct activities in line with annual compliance monitoring plan requirements, liaising with the Compliance Manager (Operations) to identify any training requirements and/or risks, providing feedback to individuals as appropriate

• Acknowledge and respond to day to day queries submitted by the business to the central Compliance inbox

Our Values

Customer first

• Be Respectful - Treat customers and colleagues at all levels with dignity and respect.

• Show awareness - Be aware of how your actions and behaviours affect customers, colleagues and the business.

• Go Above & Beyond - Always aim to exceed expectations, giving your very best to every customer and colleague.

Raise the bar

• Embrace Change - Treat change as an opportunity to improve, welcoming new ideas and ways of working.

• Commit to Development - Take responsibility for your personal development and that of the business.

• Be Proud & Lead By Example - Take pride in yourself and your work, acting as a positive role model for others.

Do the right thing

• Be Accountable - Take responsibility for your actions and learn from any mistakes.

• Keep Your Promises - Do what you say you’ll do, when you say you’ll do it.

• Be Courageous & Honest - Speak up for what you believe in and welcome the opportunity to give and receive constructive feedback.

Win together

• Collaborate & Share - Be generous with your time and ideas, working with and for the wider team.

• Appreciate others - Recognise the contribution made by every colleague to the success of our business.

• Focus on Solutions - Show resilience and determination, focusing on the solution not the problem.

The person

Overview

Approachable, organised individual with a proven ability to work in line with detailed process and procedures in a regulated environment. An enthusiastic self?-?starter who can seek work pro?-?actively and carry out activities when given the relevant guidance and support. An excellent communicator with the ability to interact at all levels. Capable of handling work across a range of products and activities whilst retaining a high level of detail.

Skills and knowledge:

Essential
Ability to use all Microsoft Office programmes to a competent level

Desirable
Experience in an internal/external customer facing environment

Experience of responding to customer complaints

Experience working in a financial services environment

Qualifications

General education
Good numerical and literacy skills

Financial services qualifications
Certificate in Mortgage Advice and Practice (CeMAP)

Certificate in Regulated Equity Release (CeRER) (Home Reversion 'top up unit' orER1)
Age Partnership will support you financially with these studies.

This job description is not exhaustive and serves only as a broad outline of the duties required. This job description may be amended as necessary.