Operational Risk Compliance Manager

Plus One Personnel
Leamington Spa
02 Aug 2017
30 Aug 2017
Job Type
Contract Type

Job Title: Operational Risk Compliance Manager

Location: Leamington Spa

Salary: Competitive DOE

Our client is a well-established and respected Legal Firm in the local area looking to recruit an Operational Risk Compliance Manager to join their debt team. You will be responsible for delivering compliance against regulatory FSA, Ofcom and CSA requirements as well as Data Protection and Anti Money Laundering. An excellent understanding and knowledge of Operational Risk is essential and the role will suit a client centric individual who is results orientated and enjoys working in a team environment.

Main responsibilities:

  • 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 Data Protection Act and requests to delete information.
  • Carrying out checks on new business loads including conflict checks on new matters (up to 500) against the firms data base.
  • Calibrate calls for agents eligible for a bonus and review all account challenges.
  • Review workflows within the debt recovery unit to ensure they are kept compliant with up to date regulatory standards.
  • Preparing 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 working with the debt team to delivering training in a way which minimises time off the phone when required.
  • Performing due diligence on new and existing suppliers, and undertaking onsite and remote audits.
  • Periodic reviews of all standard contact methods.
  • Monthly sessions with Team Leaders and agents to ensure consistency of marking and that the agents are aware of expectations.
  • Pro-actively manage and implement changes such as for the introduction of the pre-action protocol.

Key Skills & Experience:

  • Previous experience with Operational Risk is essential.
  • Strong people skills and ability to work well in a team.
  • Strong IT skills, in particular Microsoft Office - Excel and Word.
  • Previous experience within a compliance, audit or quality environment is essential.
  • Highly organised, systematic and the ability to prioritise own workload.
  • Excellent attention to detail.
  • A confident, positive, and proactive attitude is a must.

If you are interested in the above role then please apply with your CV or phone Joanna Middleton on for a private and confidential discussion.