The Governance Officer / Compliance Officer plays an important role in conducting monthly audits on customer interactions to ensure that our teams are meeting regulatory requirements while interacting with our customers.
This role will require you to manage your own workload and stakeholder group whilst being part of a close functioning team. You will have the autonomy to investigate potential issues as you see fit and provide recommendations to make sure all our customers are treated fairly.
You will be responsible for assessing customer interactions using the FCA Compliance Framework to ensure customers are receiving the right outcomes. Using this information to communicate meaningful and constructive feedback to our teams to drive performance improvements.
You will produce reporting to present the results of your audits to keep senior management informed on our compliance performance and areas of opportunity to improve. Your reviews will focus in on the root cause of any issues identified and recommendations will drive quality improvements across customer interactions.
You will build strong relationships with a wide stakeholder group to ensure our outsourced partners and internal channels are calibrated and compliant to our FCA Compliance Framework.
We also expect you to continue to enhance your own knowledge of current and forthcoming regulatory requirements and identify process improvements and first-class practices across industries.
What you will do:
- Responsible for conducting quality audits against risk-based compliance model for customer interactions
- Conduct root cause analysis (RCA) to support continuous improvement on quality and performance
- Provide feedback to improve performance in operational areas
- Identify training needs together with providing guidance to less experience staff.
- Participate and in some cases lead calibration sessions to maintain consistency across all areas
- Support performance improvement interventions after identifying key themes
- Provide timely and comprehensive reporting, highlighting areas where criteria has not been met and identifying any trends and patterns in compliance levels against FCA regulations
What you'll bring:
- Practical experience in quality assurance setting
- Experience working in a FCA regulated environment (ideally)
- Great people skills and ability to communicate feedback effectively
- Good organisational skills, ability to work independently to meet regulated deadlines
- Problem solving capabilities to create meaningful strategies to improve quality
- Analytical skills to produce root cause analysis
- Ability to work within a clearly defined set of regulations and standards
- Customer focused
- Process driven
- Compliance lead
Project People is acting as an Employment Agency in relation to this vacancy.