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Compliance Assurance Officer

  • Date Posted: 20/05/2019
  • Contract Type: Permanent
  • Rate/Salary: Dependent on Experience
  • Job Reference: ELLCAO
  • Location: Bourne End

Job Purpose

The main purpose of the role is to conduct second line of defence, risk-based monitoring activity, across all areas of the business, in line with regulatory requirements and internal guidance. Assessing business processes and risks, and evaluating internal controls to provide an independent appraisal of the groups internal control environment will be key deliverables. Provide guidance and assurance to Senior Management on compliance to policy and procedure and the reporting of any identified risks. The position will include responsibility for the execution of detailed thematic projects in accordance with the agreed Compliance Assurance monitoring plan.

Key Responsibilities

  • Contribute to the delivery of the risk-based monitoring plan through the timely completion of assigned reviews in accordance with Compliance Assurance methodology.
  • Conduct regular and structured second line of defence monitoring activities of specified review areas, and identify reportable issues and dimensions of risk.
  • Communicate with key members of Senior Management in relation Compliance Assurance activity, and draft comprehensive and complete reports of review area.
  • Appraise the adequacy of internal controls and systems.
  • Input into the Annual Compliance Assurance Monitoring Plan.
  • Provide recommendations for continuous improvement to the Compliance Assurance Manager.
  • Actively share best practice with the Branch Network, Guaranteed Loan Division and Central function.
  • Manage the timely closure of report actions and verify identified issues have been adequately addressed by management.
  • Maintain internal control systems through the updating of monitoring frameworks.
  • Conduct special projects at the request of the Compliance Assurance Manager / company management in response to emerging business risks.
  • Build, develop and maintain strong relationships with key internal stakeholders.
  • Effectively and efficiently complete all duties and responsibilities as assigned and to company standards.

Key Interfaces

  • Operational Management and Senior Management
  • First and Second Lines of Defence: Operational Control, Compliance, Operational Risk and Quality Assurance
  • Head Office Departments, Branch Network, Central, Trust Two, GeorgeBanco



  • Knowledge of the financial services industry and an understanding of associated Regulatory, Compliance and Risk Management frameworks.
  • Experience of working in an FCA regulated role.
  • Good communicator, both written and verbal, with experience of communicating with members of Senior Management, or the ability to demonstrate confidence in this area.
  • An eye for detail, analytical approach and ability to be objective
  • Experience in presenting and discussing information in a logical and professional manner, and ability to manage discussions to effectively build consensus and drive forward-looking actions.
  • A desire to learn and take on board feedback, with the ability to work independently and as part of a team.
  • Display a genuine passion for compliance and a commitment to both personal development and development of the business.  


    • Effective interaction with all levels of management.
    • High level of accuracy and attention to detail.
    • Excellent communication skills, both verbal and written.
    • Ability to deal with conflicting demands ensuring key priorities and deadlines are met through effective time-management.
    • Innovative and a problem solver.
    • Good organisation and planning skills.
    • Ability to use Microsoft applications.
    • Professional qualifications – not essential, but should be willing to further their professional development e.g. ICA Certificates and Diplomas.


    • Business Acumen
    • Customer Service
    • Corporate Behaviour
    • Communication
    • Personal Development
    • Leadership




  • Must be flexible, adaptable and willing to work away from home at various locations throughout the UK.



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