Compliance Monitoring Officer

Management Level

G

Business Division: EQ Credit Services

Business Function / Department: Compliance

Job Title: Compliance Monitoring Specialist

Reporting to (Job Title): Compliance Manager

Date: 30/11/2022

Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 5,700 employees, it supports 37 million people in 120 countries. EQ's purpose is to care for every customer and simplify every transaction, delivered with less of an impact on the environment.

EQ's vision is to be the leading global share registrar, offering complementary services to its client base and

our values set the core foundations to our success. We are TRUSTED to deliver on our commitments, COMMERCIAL in building long term value, COLLABORATIVE in our approach and we IMPROVE by continually enhancing our skills and services. There has never been a better time to join EQ.

Role Summary

As an FCA regulated business it is essential that we have systems and controls in place to ensure that we are effectively monitoring and maintaining our processes and procedure to ensure regulatory compliance.

This role is pivotal in ensuring that the regulatory requirements have sufficient oversight and where appropriate, necessary remediation and mitigation strategies are being implemented.

This role will provide 2nd line Quality Assurance and monitoring on the written and oral communications delivered on the Homes England help-to-buy portfolio. You will support the Compliance Manager with embedding a culture of risk and compliance, delivery of annual compliance plan and making improvements to policies and processes to deliver good customer outcomes.

Core Duties/Responsibilities

• Conduct monthly call monitoring and correspondence monitoring for all agents across the contact centre including administration, redemptions, and collections
• Analyse risk and correctly identify appropriate remedial action to support fair customer outcomes
• Conduct effective root cause analysis to support necessary improvements that feed into various business areas policies and process changes
• Ensure actions are effectively tracked to satisfactory resolution where remediation is required
• Ensure that the Quality Assurance scorecard aligns to the Homes England requirements and delivers effective outcomes for customers
• Provide MI to the Compliance Manager on relevant assurance outcomes
• Provide feedback to Team Leaders on the outcomes of the monitoring with clear guidance on the areas of improvement and coaching
• Identify areas of improvement or training with potential solutions.

Skills, Capabilities and Attributes

The successful candidate will demonstrate the following experience, skills and behaviours:

A minimum of 2 years

• ' experience, working within compliance or risk department,
• Subject matter expert in at least one of the following areas: regulated mortgage sales, risk management, FCA Regs (MCOBS, BCOBS, ICOBs..), ICO (GDPR, Breach reporting and handling…), Ofcom
• Experience in communicating effectively and directly to senior and/or exec level people on Compliance matters,
• Must be confident, flexible, independent, and self-motivated,
• Presentable and articulate with the ability to interact with people at all levels,
• A fast learner with the ability to acquire knowledge swiftly, work with the knowledge and pass it on as necessary,
• Able to overcome objections and conflicts, proposing suitable methods of rectification,
• Dependable and trustworthy,
• Adept at building strong relationships, with the ability to ingrate into an existing team,
• Detail orientated with the ability to work methodically,
• Able to prioritize tasks and workload to meet tight deadlines in a frequently changing environment,
• Able to work proactively under your own initiative,
• Adept at solving problems and possess strong analytical skills.

Training & Education (Qualifications/vocational training required)

• Experience within a regulated environment,
GCSE
• 's including Maths and English,
• CeMAP or other equivalent qualifications are desirable. (Applicants that do not have these qualifications may be required to gain these in future)

What We Offer (UK ONLY)

Save for your Future - Equiniti Pension Plan; Equiniti matches your pension contributions up to 10%

All Employee Long Term Incentive Plan (LTIP) – Gives all EQ Colleagues the opportunity to benefit if the current owners successfully sell the company for a profit.

Health and Wellbeing – Employee Assistance Programme: counselling, legal & wellbeing support for all colleagues and their households. Life assurance cover at 4x salary with the ability to purchase enhance cover.

Employee discounts – Discounts and cashback at your favourite high street stores through our EQ Wins Platform.

Flexible Benefits – The ability to purchase a wide variety of benefits through our flex plan; wine club, Apple gadgets, travel insurance, will writing, holiday trading and more.

Time Off – Typically 28 days holiday + bank holidays. 2 volunteer days to get involved with a charity of your choosing.

Winning together – Equiniti ICON award vouchers; recognising the individuals going above and beyond to help the business succeed.

 

We are committed to equality of opportunity for all staff and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief and marriage and civil partnerships.

Please note any offer of employment is subject to satisfactory pre-employment screening checks. These consist of 5 year activity & GAP verification, DBS or Access NI, Credit, Sanctions & CIFAS checks.