Working hours Working Hours
Location Cornwall, Devon, Somerset, Dorset
Benefits Benefits
Closing date 31/08/2017


Salary Salary

Job Title: Compliance Monitoring Officer (Permanent full time position)

Location: Group role, based in South West with frequent travel across the region

Interviews: 14th September 2017

Key responsibilities:

An exciting opportunity has arisen for a driven individual to join the Group, reporting directly to the Group Financial Director on the status of compliance with FCA, data protection/GDPR and other associated regulatory requirements, key responsibilities include:

  • Assisting with and driving completion of the annual compliance plan and review
  • Ensuring the compliance framework remains up to date and is periodically reviewed and maintained, including Compliance systems/software
  • Ensuring that the Group’s finance and general insurance (F&I) policies and procedures are fully implemented and adhered to across the Group
  • Undertaking Training and Competence visits to the dealerships ensuring individuals are aware of their compliance obligations and Group best practice
  • Operating an approvals process to ensure all financial promotions including the website remain fully compliant
  • Handling regulated complaints
  • Implementing a risk based deal file monitoring programme and reviewing files for compliance with Group and regulatory requirements. Regular dealership deal file audits and feedback will represent a fundamental part of the role.
  • Running Induction and Annual Assessment Training Courses
  • Assisting with the development of internal policies and procedures
  • Undertake a range of projects as requested by senior management
  • Referral point for dealerships compliance related queries
  • Providing detailed compliance and audit reports, making recommendations and agreeing actions to address any issues requiring attention.
  • Reporting to and attending Compliance Board meetings
  • Provide administrative support to Group Finance Director, including maintaining records, issue tracking, MI analysis and compliance monitoring updates
  • Monitoring progress on delivery and closure of action points
  • Prompt escalation of significant compliance issues to Group Finance Director
  • Contribute to development of regulatory procedures by identifying weakness and making recommendations for improvement
  • Maintaining an up to date knowledge FCA regulatory requirements, Financial Crime, Data Protection/GDPR to ensure competency levels are achieved and maintained
  • Able to be balance customer centric approach whilst being mmindful of the commercial objectives of the firm when delivering compliance objectives
  • Adaptable to the changing requirements of the regulations and keen to develop new skills
  • Able to communicate openly and effectively, both internally and externally, in order to deliver the requirements of the regulations
  • Good interpersonal skills with ability to build and manage effective and productive working relationships; considerate to the needs and opinions of others
  • Able to encourage, facilitate and achieve process and behavioral change within an operational environment. Able to handle and constructively work through challenges from others.
  • Able to prioritise and organise work under own initiative, identifying when referral needs to be made
  • Analytical and capable of extracting key issues and trends from large amounts of data and information
  • Able to demonstrate pragmatic problem solving approach
  • Good attention to detail and high level of accuracy
  • Good presentation skills, capable of providing guidance, coaching and mentoring staff
  • Good understanding of FCA rules regulatory regime and data protection/GDPR
  • Experience of compliance monitoring
  • Preferable experience of the automotive sector, general insurance and consumer credit/ca finance activity
  • Able to write concisely in plain English
  • Proficient in Microsoft office, including word, PowerPoint and excel
  • Full UK driving licence

Behavioural competencies

Skills, experience & other requirements

If you meet the above criteria please email your CV to and we will be in touch to discuss your suitability for the opportunity

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