Compliance Assurance Business Partner Principal Associate

About this role

Were looking to recruit a Compliance Assurance Business this role you would be responsible for a diverse range of areas that will support First Line risk owners in understanding compliance risks within their Business Areas and processes and promote improvements in the quality of associated compliance controls and the delivery of good customer outcomes.

The Compliance Testing and Assurance team is a trusted partner that provides effective challenge to ensure our business can deliver on their objectives.

As a Compliance Assurance Business Partner your role will require excellent communication and interpersonal skills superb integrative thinking and problem solving and a desire to help the business effectively manage compliance risk so we can deliver on our strategy.

If you have a passion for using risk management as a competitive advantage to drive tangible improvements in the understanding and managing of compliance risk whilst raising awareness of external factors across the industry to build into our decision making then our Compliance Assurance Business Partner role could be the opportunity youve been looking for.

What youll do

Advise and partner with associates across the UK Business to ensure we can successfully deliver our business strategy while meeting our internal and external obligations in how we manage our compliance risks. You will do this by:

• Partnering with the business to ensure they are aware of their Legal and Regulatory obligations and understand internal policy expectations to enable them to effectively control for them

• Leading on key risk assessment activity with a compliance lens such as Process Level Assessments and Risk & Control Self Assessments. You will provide challenge on compliance risk and mitigating control suites

• Conducting regulatory reviews on key pieces of regulation such as GDPR and Consumer Duty to ensure that compliance risk is regularly reassessed and that business partners fully understand their obligations and how to effectively control for the risk

• Partnering with key stakeholders in the UK Legal department to support the team and the wider business in interpreting and understanding the compliance obligations the UK business faces

• Building and maintaining collaborative relationships with business stakeholders in order to influence decisions and aid them in understanding their compliance risks

What were looking for

• A skilled risk professional experience working within financial services.

• Extensive compliance knowledge of FCA CCA GDPR and marketing regulations and applying these to a financial organisation

• Understanding of what good outcomes are for customers and how to assess these

• Experience of leading or undertaking risk and control assessments and providing effective assurance and challenge to a wide range of stakeholders across different business functions.

• A problem solver that can identify and recommend solutions to improve our control suites mitigation activities and operational processes

• An ability to build trusted relationships with stakeholders across the business

• Effective at managing competing priorities with a strong focus on delivering results in conjunction with considering the needs of the team

• You already hold or are interested in working towards a relevant ICA or IRM qualification (e.g. ICA Certificate in Compliance or IRM Certificate in Risk Management)

We are committed to creating a level playing field and seek to create teams that are representative of our customers and the communities we serve. Wed love to hear from you if you identify with a typically under-represented group in our industry and are particularly keen to hear from women the LGBTQ community and ethnic minority candidates.

Where and how youll work

This is a permanent position and based in our Nottingham offices.

Our hybrid working model offers you the flexibility to work from our offices and from home when you need to but our associates are required to use our offices on Tuesdays Wednesdays and Thursdays.

Whats in it for you

• Bring us all this - and youll be well rewarded with a role contributing to the roadmap of an organisation committed to transformation

• We offer high performers strong and diverse career progression investing heavily in developing great people through our Capital One University training programmes (and appropriate external providers)

• Immediate access to our core benefits including pension scheme bonus generous holiday entitlement and private medical insurance with flexible benefits available including season-ticket loans cycle to work scheme and enhanced parental leave

• Open-plan workspaces and accessible facilities designed to inspire and support you. Our Nottingham head-office has a fully-serviced gym subsidised restaurant mindfulness and music London you can heighten your mood with a run on our rooftop running track or an espresso at the Workshop Coffee café

What you should know about how we recruit

We pride ourselves on hiring the best people not the same people. Building diverse and inclusive teams is the right thing to do and the smart thing to do. We want to work with top talent: whoever you are whatever you look like wherever you come from. We know its about what you do not just what you say. Thats why we make our recruitment process fair and accessible. And we offer benefits that attract people at all ages and stages.

We also partner with organisations including the Women in Finance and Race At Work Charters Stonewall and upReach to find people from every walk of life and help them thrive with us. We have a whole host of internal networks and support groups you could be involved in to name a few:

• REACH Race Equality and Culture Heritage group focuses on representation retention and engagement for associates from minority ethnic groups and allies

• OutFront to provide LGBTQ support for all associates

• Mind Your Mind signposting support and promoting positive mental wellbeing for all

• Women in Tech promoting an inclusive environment in tech

• EmpowHER - network of female associates and allies focusing on developing future leaders particularly for female talent in our industry

If you require a reasonable adjustment please contact All information will be kept confidential and will only be used for the purpose of applying a reasonable adjustment.