This is a 3 month temporary role supporting a financial association leading changes in their industry. The primary purpose of this role is to manage day to day operations of the legal and compliance function to cover extended annual leave and to provide additional assistance for a transitional period.
This role will also provide exceptional quality compliance guidance and assistance to members in relation to their operations in the mortgage and finance industry; assist in the management of complaints by providing advice and assistance to members of the public who have enquiries or complaints about members; and to manage other compliance and regulatory functions and activities as directed by the COO.
About the client
This client is driving reform within their industry and are at the cutting edge of what they do. They are instrumental in reviewing regulatory changes and influencing major change in their industry. An opportunity has arisen to assist the associations members and provide them with excellent knowledge and service of the legal and compliance issues within the industry.
The office is small, but are a close knit team that work together to make a positive influence in their industry and make real changes. The work is challenging and rewarding and is an exciting role for the right person. This role also benefits from a strong leadership team that have a proven open door policy.
Member Advice and Compliance
- Provide assistance to member enquiries via telephone and email in relation to compliance issues.
- Assist with research and/or writing general articles and guidance in media and communications and for the website.
- On occasion, participate in seminars regarding compliance issues.
- Proactively analyse member enquiries and develop strategies and solutions to address emerging enquiry trends.
- Develop and produce monthly member enquiry reporting.
- Be abreast of regulatory developments affecting the industry.
- Provide assistance to members of the public who have enquiries or complaints about members via telephone and email.
- Liaise with the Investigating Officer as appropriate.
- Perform the role of Tribunal Secretary and liaise with and assist the Chairman, Deputy Chairman and members of the Disciplinary Tribunal as required.
- Follow up on alleged member misconduct complaints in order to secure supporting information regarding those complaints.
- Develop and produce monthly, quarterly and annual complaints reporting.
- Ensure compliance with regulatory requirements.
- Manage the internal operations of the legal and compliance function as directed by the Chief Operating Officer.
- Assist with the creation of all regulatory material, e.g. membership forms, applications, criteria and the like.
- Proactively ensure compliance manuals and documents for members, especially the website’s Legal & Compliance material are kept up to date.
- Ensure other compliance materials are up to date as directed.
- Provide assistance as required on legal and regulatory matters as required.
- Proactively review and continuously improve compliance processes to increase productivity, efficiency and quality of services and outcomes.
- Proactively develop and maintain standard operating procedures for complaints and other key compliance activities.
- Assist in the research and/or preparation of submissions on regulatory matters to government inquiries and the like.
- Assist with engagement and management of relevant Forum issues.
- Maintain appropriate records as required.
- Develop and maintain working relationships with external stakeholders including legal, regulators and consumers groups.
Skills and Experience required
- Demonstrated experience and understanding of compliance issues within the financial services industry
- Demonstrated experience in financial regulatory frameworks and governance thereof, (e.g. National Consumer Credit Protection Act 2009).
- Advanced Microsoft Skills (Excel, Word, PowerPoint and Outlook)
- Strong organisational and project management skills
- Results driven with high attention to detail
- Excellent written and verbal communication skills
- Analytical mind and skills to produce compliance reports
- Self motivated and can work with minimal supervision
- Adaptable and flexible work style with the ability to manage competing priorities
- Customer focused and excellent interpersonal skills
- Confident, professional and well presented