• Permanent
  • Scotland, East Ayrshire
  • January 2022
  • audit, compliance
  • Up to £38000 per annum + + benefits

My client is a leading purchaser of non performing loans from reputable financial institutions who works with their customers to assist them in resolving and delivering solutions in an affordable way operating within a highly focused and ethical code of conduct.

The Compliance Control Officer will assist management in identifying, assessing, reporting, and containing compliance risk through the implementation and execution of the compliance risk assessment process and the completion of routine compliance control testing and monitoring. They will also contribute to the design and production of policy and governance and deliver training and awareness of compliance content.

Your duties and responsibilities will encompass the following:

Complete regulatory compliance testing and monitoring assignments in accordance with
established department standards and within allotted time frames.
Draft recommendations to communicate control performance results and regulatory findings to
management.
Build and execute detailed compliance testing and monitoring routines created to audit the design and effectiveness of compliance controls.
Work with various business partners to facilitate the completion of risk assessments and targeted compliance risk assessments.
Assist Risk Owners with the identification of key risks and mitigating controls in their business, as well as action plans to address any gaps in the mitigating measures identified.
Test self-assessment to identify possible control weaknesses in departments and functions and other operational areas and recommend changes to minimise those weaknesses.
Examine policies, procedures, and practices to ensure compliance with laws and regulations and implement any needed changes.

Your background and experience will include much of the following:
One to three years of experience in bank auditing, compliance testing or other internal control testing, or regulatory experience in the financial services industry.
Excellent written and verbal communication skills.
A high degree of proficiency in organisation, planning, and project management.
The ability to work independently, in a fast-paced environment and demonstrate a track record for completing work in a timely and organised fashion, as well as part of a team.
Proven experience working with Excel and developing and maintaining various analyses and
reporting tools.
Be able to read and comprehend laws, regulations and other legal documents and conduct
research as well as prepare efficient and effective written communications and instructions.

TLP Consultancy Ltd is acting as an Employment Agency in relation to this vacancy.


Apply now via e-mail