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DATE ADDED: Tue 08/10/2019

Operational Risk Officer

Sydenham, UK


JOB TYPE: Permanent, FullTime

Operational Risk Officer
We are currently seeking an enthusiastic Operational Risk Officer to join our Debt Recovery Compliance team working in a large office in Leamington Spa.
Free parking on site. Salary up to £24,000 dependent on experience. The working hours are 9am to 5:30pm; Monday to Friday. Applicants will be required to complete a credit and DBS check.
Excellent benefits package; including 22 days annual leave (in addition to bank holidays) increasing to 25 with length of service, employer backed pension scheme, firm wide performance bonus scheme, training and development, healthcare scheme, free on-site car parking, on-site café, an active social committee and childcare vouchers.
The role of Operational Risk Officer is to deliver operational compliance with regulatory, legislative and client requirements which include SRA, FCA, Ofcom and CSA requirements as well as data protection and anti-money laundering legislation.
Ensuring that monthly compliance dashboard, approved person reports for the debt team and firm wide are delivered and highlight areas of risk.
Ensuring all information required by the Financial Conduct Authority is supplied within the set timescales and that Approved Persons are compliant with obligations set by the Financial Conduct Authority.
Ensure incidents are properly investigated and that a proper record is maintained to be reported on to the Compliance, Operational and IT meeting.
Respond to complaints that are received and deliver appropriate responses within set timescales and implement remedies to avoid repetition of complaint clause.
Respond to requests for information under the General Data Protection Regulation and requests to delete information.
Carrying out checks on new business loads including conflict checks on new matters (up to 500) against the firm's data base.
Support the Quality Assurance process including line management of the Quality & Compliance Assistant.
Calibrate calls for agents and review all account challenges; as well as deliver effective remedies in areas of non-compliance.
Review workflows within the debt recovery unit to ensure they are kept compliant with up to date regulatory standards.
Support and prepare for client audits and due diligence requests by completing pre audit documentation requested and liaising with the client on the day of the audit and implementing remediation on recommendations made.
Updating training material to ensure it is compliant with legislation and work with the operations team to delivering training.
Drive, challenge and deliver effective operational controls that achieve compliant operations.
Periodic reviews of all standard processes including customer communications ensuring we are compliant, and processes are working effectively.
Pro-actively manage and implement changes such as for the introduction of the pre-action protocol.
Provide feedback to Team Leaders and work with them to address quality and under performance issues
Maintain all other department logs and trackers
Document and maintain all processes and procedures within the compliance function Advertised through Zoek 3f5772213960450f805e95d9519e0fe414