Compliance Monitoring Manager

MERJE has partnered with a leading global FinTech platform and we’re on the lookout for a Compliance Monitoring Manager. As the Compliance Monitoring Manager you’ll be reporting directly to the Head of Compliance and you will support the Compliance Team with the design and delivery of the Compliance Monitoring plan, ensuring that the monitoring framework is focused on key risk areas and the customers are receiving the best outcomes.

Responsibilities:

• Design and develop the Compliance Monitoring plan, and work closely with the Compliance Monitoring associate to ensure the plan is updated regularly to reflect the changing regulatory landscape.
• The timely completion of monitoring activities on a regular basis as specified in the Compliance Monitoring Plan, including but not exclusively:
  
  • Call monitoring
  • Email and live chat monitoring
  • End-to-end customer journey reviews, including customer account reviews at all stages, vulnerable customers, forbearance approaches, and collections and arrears management
  • Transaction monitoring
  • Complaints monitoring
  • Financial Promotions
  • Report findings in monthly audit reports for review with the Compliance Manager, Senior Compliance Manager and Head of Compliance
  • Compile the Compliance Monitoring findings into reports to share with relevant business areas.
  • Participate in feedback sessions with relevant business areas to share findings and areas for improvement.
  • Circulate any key findings to the relevant areas of the business and provide recommendations for improvements to policies, processes and training
• Line manager responsibilities:
  
  • Support with external audit requests, for example in collating information requested from business areas ready for submission
  • Alongside the Compliance Officer, support managing the compliance inbox and action any financial promotion or financial education review requests as required
  • Supporting the Marketing teams in delivering fully compliant collateral, taking into consideration financial promotions rules, advertising standards and data protection requirements
  • Support the development of Compliance communications to keep the board, leadership team and wider business informed of compliance matters
  • Develop and maintain effective working relationships with internal and external stakeholders for example external auditors and the regulator

Experience required:

• A minimum of 5 years of relevant experience in consumer credit Compliance Monitoring
• Profound knowledge of pertinent FCA regulations, with a specific focus on CONC and DISP
• A solid grasp of GDPR, Data Protection, and ICO guidelines
• Extensive experience collaborating with diverse stakeholders across all facets of a business

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.