Compliance Analyst

We are looking for a Compliance Analyst with experience to deliver regulatory advice to clients in the specialist areas of mortgages, consumer credit and insurance (FCA focussed). As well as manage a case load and perform financial assessments.

Primary duties and Responsibilities

• Drafting policies and procedures, create proforma Loan applications and credit cheque agencies in line with the FCA requirements
• Adhere to these policies and procedures
• Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required
• To identify the business risks ensuring all current and future regulatory requirements are adhered to with effective controls in place
• Manage projects, often with multiple workstreams. This includes project planning, budgeting, scheduling, resource management and project close-down
• Conducting regulatory reviews
• You will be responsible for managing and nurturing your own case load of Start Up Applicants. You will have initial communication as well as ongoing engagement, supporting Applicants through the application process and providing practical guidance and support in order to enable them to reach a full loan assessment.
• Conduct Financial assessments to make decisions on whether the loans should be granted
• Responding to ad-hoc and routine regulatory queries
• Act as the main point of contact for a portfolio of clients.
• Responding to ad-hoc and routine regulatory queries
• Ensuring accurate invoicing, timely payment and assisting the Finance team in resolving any queries
• Provide high quality advice and support to clients on a range of regulatory compliance matters.
• Responding to all queries, managing client expectations and delegating work, where necessary

What we offer

• Competitive salary DOE;
• Support in continuing professional development and pursuing your long-term career goals;
• A dynamic, client-driven work environment to apply skills where they’ll make the most difference;
• A purpose-built staff room and one-hour lunch breaks;
• Free on-site parking;
• Generous leave allowance; and
• Access to the firm’s private gym with showers and sauna

Outside of the office, our staff can be found out bowling, sailing, mountain biking, hosting seminars, or anything in between. Anything goes. Even piloting helicopters and airplanes.

Experience

The ideal candidate will have a background in finance which includes working in a regulated environment and has the ability to multi task, make conscious business decisions, analyse business finances and stay compliant with the FCA guidance and must come from a background of compliance with FSA.

Knowledge and Skills

• Knowledge of the broad compliance requirements for all financial services businesses e.g. KYC, T&C, DISP, Approved Persons regime, Financial Crime, TCF etc.
• Knowledge of lifetime mortgage financial operating processes, procedures and controls (MCOB 8 & 9) an advantage
• Currently acting as a Risk and or Compliance analyst or similar (eg supplier oversight)
• Understanding of Information Security risks and Data Protection regulations is highly advantageous
• Skill to identify new risks or the inadequacy within existing controls and to seek improvement
• Skill to challenge & influence management as to the alignment of business activities with the compliance and risk policies and procedures
• Skill to analyse data and make recommendations based on this analysis
• Proficient with Microsoft Office programs (Strong Excel skills an advantage)
• Ability to use recognised risk management tools (KRI’s, CSA, Risk Registers) in a live environment

Why Work for Kidwells Loans

Kidwells Legal Loans works to empower our clients, whether business or individuals. And that starts with empowering our staff, too. Our team enjoy a high quality of work, in an energetic and friendly environment where they can learn, evolve, and make a real difference in the lives of our clients.

Established in 2008, Kidwells Solicitors was the first of the businesses of the Kidwells group companies to be a success and is now well known and the market leaders in the legal sector. Since the Solicitors was established, we have built the Kidwells Group, Kidwells Rated a marketing source, Kidwells Loans and Kidwells Accounts.  Our clients value us for our efficient, honest, and proactive approach. We take the time to truly understand our clients and their needs. Our diversity, breadth of experience, and unique level of hands-on expertise are our greatest strengths, enabling us to provide a one-stop service for our clients. Ultimately, you will be part of a team that works with clients to build a better future, for themselves, their community, their family, or their business.

For any queries, please get in touch.