Compliance Consultant

What Youll Bring:

Were looking for a Compliance Consultant to join our growing Compliance team.

The Compliance Consultant will be responsible for conducting reviews and providing day-to-day compliance advice and guidance to stakeholders of TU UKs appointed representative business on compliance related matters and relevant issues and ensure that any exceptions identified through Compliance Monitoring advice and other assurance activities are appropriately flagged and recorded/reported as needed and corrective action is taken as necessary.

Day to Day Youll Be:

• Lead on activities that support the planning/designing execution and completion of allocated Compliance Monitoring reviews and activities (including scoping testing documenting and reporting and tracking completion of agreed actions arising from issues identified).
• Act as a key point of contact for compliance and conduct issues providing independent challenge where needed and be able to explain complex issues in a clear and concise manner.
• Support the preparation maintenance and execution of the annual Compliance Monitoring Plan (CMP) via delivery and completion of allocated Plan work and providing input into the CMP coverage.
• Advise the business on compliance queries especially with regard to FCA Handbook requirements by providing practical interpretations of regulatory requirements and guidance using skills and knowledge.
• Provide guidance to the business in the development and review of operational documents processes and procedures to ensure effective compliance with the FCA and other regulatory requirements.
• Represent the Compliance function through all interactions arising from CMP work involvement in meetings and assisting with other ad-hoc activities and requests from the business as they arise.
• Work proactively with other second and third line teams to ensure that key compliance risks of the business are known understood and subject to appropriate oversight as needed.
• Assist the wider Compliance function in preparations for FCA regulatory returns and other relevant FCA reporting commitments.
• Identify opportunities to innovate and develop compliance monitoring and oversight methods/systems.

Essential Skills & Experience:

• Significant demonstratable experience of performing second line assurance activities ideally within a dedicated Compliance or Audit function of a Financial Services firm regulated by the FCA.
• Comprehensive knowledge and understanding of the FCA Handbook (including PRIN SYSC CONC SUP) Compliance Frameworks and compliance monitoring methodology and investigative/audit techniques.
• Aptitude for learning problem-solving and a passion to digest and interpret emerging regulation.
• Initiative to work independently with the confidence to effectively challenge the status quo and propose solutions via completing compliance reviews thoroughly and efficiently.
• Methodical thorough and diligent with strong attention to detail and strong documentation and report writing and presentation skills.
• Effective organisational and time management skills to be able to manage and prioritise multiple tasks within set deadlines.
• Strong interpersonal and communications skills (written and verbal) and experience of dealing with stakeholders at all levels.
• Ability to use standard Microsoft products to a high standard including Outlook Excel Word and PowerPoint.

Desirable Skills & Experience:

• A good working knowledge of the UK financial services sector and FCA regulation.
• Good understanding of General Data Protection Regulation and the Data Protection Act 2018 and Financial Services and Markets Act 2000.
• Understanding of Credit Reference Agency data (desirable).

Impact Youll Make:

Whats In It For you
At TransUnion you will be joining a friendly forward thinking global business.
As well as an excellent salary and bonus scheme or commission scheme (if joining our sales teams) our benefits package comes with:

• 26 days annual leave bank holidays (increasing with service)
• Global paid wellness days off a bonus day off to celebrate your birthday
• A generous contributory pension scheme access to the TransUnion Employee Stock Purchase Plan
• Private health care a variety of physical mental and financial fitness wellbeing programmes such as access to mindfulness tools
• Access to our diversity forums and communities so you can get involved in causes close to your heart

TransUnion a place to grow:
If theres something on the list of essential / desirable skills that you cant quite tick off dont let that put you off applying. We are open to exploring training and development opportunities for the right candidate to ensure you are successful.
We know imposter syndrome is real lets confront it so we can continue to grow and thrive together

Flexibility at TU:
We recognise that our people need the freedom to balance their day-to-day lives with their work. This is why weve set out to create inclusive and flexible policies and practices for you to accommodate all your responsibilities and needs: children family and beyond. If the role is advertised as full time dont let this stop you from applying. Let us know if youre looking for a part time or flexible working arrangement and we can discuss this with you.