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 real estate finance and specialist residential mortgage markets.
This role is identified as falling under a category of staff whose professional activities are deemed to have a material impact on Hodge’s risk profile under the following criteria: holds managerial responsibility within the first line compliance and risk function and reports directly to the Retail Director. The role will be responsible for shaping Retail to support business growth and ensure good customer outcomes.
Minimum Requirements:
* Knowledge of FCA Conduct rules.
* Previous experience in financial services in a Compliance / Risk Senior Manager or Head of role.
* Presenting at Board or Committee level.
Responsibilities:
1. Through strong leadership, they will be the champion for our conduct, compliance and risk management within Retail and across the business, holding leaders to account where the customer isn’t centric to their decision making and celebrating when we achieve milestones that enhance our customer culture.
2. They will role model our brand promise of ‘always working with you’ and our brand principles of Trusted Expertise, Genuine Empathy, and Bold Flexibility and ensure that they are present when reviewing our conduct, compliance and risk.
3. Have an extensive knowledge of the regulatory requirements and be able to analyse current processes and documentation to highlight areas of improvement and ensure the bank remains compliant as it grows.
4. Oversee work undertaken by the teams within the function, ensuring they support and challenge the business in compliance and risk matters and encourages a robust risk and compliance culture.
5. Be responsible for supporting the business units with implementing regulatory change as well as industry best practice. Building strong and collaborative working relationships with business partners and stakeholders, including Management Team members and 2nd Line Compliance Team.
6. Aid the development and delivery of the strategy. Identifying areas of risk and compliance within the current (and future) processes and working closely with projects and departments to understand and ensure the relevant action is taken to highlight, address and alleviate the risk to the company.
7. Form part of the Membership of Key Committees, Forums and Steer Co’s, providing challenge and insight on items such as regulatory change, non-compliance & poor customer outcomes.
8. Provide leadership and direction to the Customer Compliance team, supporting with decision making, challenging and ensuring senior management are aware of and are actioning any concerns or issues raised by the team.
9. Adheres to the Training & Competency Scheme ensuring regular 1-1s, quarterly appraisals whilst providing documented evidence of this.
10. The above is a broad definition of the job responsibilities. It does not take into account every aspect of the job which the jobholder may be required to perform. Flexibility is essential since the jobholder’s working hours will be determined by the requirements of the business.
11. 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).
12. Undertake any other reasonable tasks as and when requested by senior management.
13. 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.
14. Support the risk culture of the organisation by taking personal responsibility for identifying and managing risks.
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, these include; a 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 recognise the value a diverse workforce brings to an organisation.
ESG and sustainability are at the heart of everything we do and serves as a reminder of the responsibility we have to our stakeholders, customers, colleagues and the communities we operate in to use our position wisely. 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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