Do you want to be part of a force for good, helping to make life better for customers & society in the moments that matter? At Hodge, we put people at the heart of our business and that means our customers, colleagues and communities. Hodge is a Welsh financial service provider that focuses on commercial lending and specialist residential mortgage markets.
The Senior Compliance Officer reports into the Head of Customer Compliance and is responsible for the first line compliance within Hodge Bank (excl. Real Estate Finance). This key role requires excellent knowledge of FCA regulatory requirements and an eye for detail. The role will be responsible for ensuring compliance in processes and identifying potential risk areas within the bank. Additionally, it will shape processes to support business growth and ensure good customer outcomes.
Key Responsibilities:
* Have an excellent knowledge of the regulatory requirements and be able to analyze current processes and documentation to highlight areas of improvement and ensure the bank remains compliant as it grows.
* Aid the development and delivery of the strategy by identifying areas of risk and compliance within current (and future) processes and working closely with projects and departments to ensure relevant actions are taken.
* Oversee regulatory changes that impact the bank, ensuring robust processes and training are introduced.
* Work closely with the second line Risk and Compliance areas as directed and develop and maintain awareness of risk management developments and best practices.
* Support the Head of Customer Compliance by providing reporting to forums and committees on any areas of non-compliance identified in the course of day-to-day duties.
* Ensure that systems-based records are maintained accurately and timely.
* Provide leadership and direction to members of the Compliance team, ensuring 1-1s and appraisals are carried out in line with Hodge Policies.
* Comply with all company policies and procedures and legislative and regulatory requirements, including, but not exhaustively, those related to GDPR, Money Laundering, Health & Safety, PRA/FCA regulations, employment and other legislative requirements (as applicable).
* Undertake any other reasonable tasks as requested by senior management.
* Develop and maintain an up-to-date knowledge of Compliance & Risk regulatory and legislative information related to products/services (e.g. PRA/FCA rules, Data Protection, Money Laundering, etc.), as advised by line management.
* Support the risk culture of the organization by taking personal responsibility for identifying and managing risks.
Minimum Requirements:
* Previous experience of working in a Compliance role within Financial Services.
* Recent working knowledge of the FCA Handbook.
* Knowledge of FCA Conduct Rules.
* Experience of providing compliance advice around Consumer Duty & Vulnerable Customer requirements.
Please be aware that should we pursue your application, all our Financial Services employees will be expected to complete background checks to assess suitability for employment, including criminal record, identity, sanctions, adverse finance, fraud prevention, and reference checks to comply with our regulatory requirements.
Hodge is an advocate of being an equal opportunities employer. We believe in promoting equality and diversity, which is central to our lives today. We welcome applications from all sections of the community and recognize the value a diverse workforce brings to an organization.
ESG and sustainability are at the heart of everything we do and serve as a reminder of the responsibility we have to our stakeholders, customers, colleagues, and the communities we operate in. We’re currently exploring different certifications available and have done an initial review of how we think we’d fare, as we see this as a real opportunity for Hodge given our social purpose.
Apply today to become part of Hodge’s mission to make life better for customers and society in the moments that matter.
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