Compliance Officer

Glasgow - UK

Monthly Salary: Not Disclosed

Posted on: 30+ days ago

Vacancies: 1 Vacancy

Job Summary

A workplace culture built around trying new things getting things done and having fun while we do it has helped us lend more than 7.5 billion of mortgages put thousands of new or improved homes into the UK housing market and successfully launch on the London Stock Exchange. We have big plans to continue growing the business our products our technology and our people.

About your work

The Compliance Officer role is an exciting position focused on providing essential support in maintaining a robust compliance framework. This role is highly dynamic offering broad exposure across a wide range of regulatory and financial crime compliance responsibilities within a fast-paced FinTech environment. The successful candidate will be proactive organised and detail-oriented.

Key responsibilities

Regulatory Reporting & Communication:

Reviewing and signing off on financial promotions to ensure adherence to FCA and internal standards.
Monitoring the FCAs RegData platform and coordinating with other departments for timely and accurate completion of all regulatory returns.
Taking ownership of the Horizon Scanning process including tracking new regulatory information and preparing regulatory change newsletters for the business.

Financial Crime Prevention:

Acting as a key support in financial crime activities including reviewing and documenting Suspicious Activity Reports (SARs) and associated internal reporting.
Monitoring and reviewing screening alerts related to customer due diligence.

Governance & Administration:

Acting as the central owner for the Policy Framework managing inventory version control and timely reviews across the business.
Managing the end-to-end process for compliance findings logged in the GRC system including logging chasing owners for evidence and closing findings upon successful remediation.
Administering the compliance training system (Thrive) tracking completion rates and delivering the Compliance Induction for new joiners.

Compliance Monitoring:

Execute assigned monitoring reviews and thematic deep dives across all business areas (including Lending Operations Risk and Technology) in line with the approved annual Compliance Monitoring Plan.
Conduct detailed reviews testing the effectiveness of key compliance controls related to:
- Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) procedures.
- FCA Handbook rules (e.g. MCOB BCOB CONC SYSC).
- Data Protection/GDPR compliance.
- Financial Crime and Fraud controls.
Document all testing procedures findings and conclusions meticulously in working papers.

Reporting & Issue Management:

Produce high-quality articulate monitoring reports for management and senior committees clearly summarising findings assessing the associated risks and proposing practical root-cause-focused recommendations
Manage the tracking process liaising with Action owners to ensure remediation actions are closed effectively and within agreed timelines.

About you

A strong demonstrable interest in financial services regulation and compliance (e.g. FCA Handbook AML Financial Promotions).
Exceptional organisational skills with a high degree of attention to detail and accuracy are critical.
Excellent written and verbal communication skills with the comfort level to chase different stakeholders across the business.
The ability to manage multiple tasks concurrently and work effectively in a fast-paced environment.
Previous experience in a regulated financial services firm would be desirable but is not essential

Benefits & perks

Competitive salary company bonus scheme
Hybrid working policy
25 days holiday (increasing with the length of service)
Private healthcare
Enhanced parental leave
Matched pension contributions up to 4%
Critical illness cover
Employee Assistance Programme & Mental Health support
Life assurance
Regular performance reviews to promote a culture of growth and development
Leadership training for managers
Give as you earn scheme for charitable donations
Support for attending conferences and professional learning & development
Discounts via Perkbox
Cycle to work scheme
Season ticket loan
Electric car loan scheme
Monthly socials & annual offsite

Diversity Inclusion & Belonging at LendInvest

At LI we believe in bringing your whole selves to work we are committed to a culture of belonging where individuals can form a genuine community. We are proud to be an equal opportunities employer and are committed to building a team that represents a variety of backgrounds perspectives and skills.

LendInvest is the UKs leading FinTech platform for property finance. Over the past 17 years we have grown from just our two founders to a team of over 200 working to make property finance simple for everyone.A workplace culture built around trying new things getting things done and having fun while ...