Compliance Assistant - Risk & Compliance

The role

You will support and report to the Risk Strategy Manager in ensuring that the firm’s systems and controls meet the firm’s legal obligations.

You will be responsible for

• Supporting the delivery of proactive regulatory compliance within the firm
• Supporting the Risk Strategy Manager:
  • ensuring the firm complies with requests and requirements to maintain membership of mortgage lending panels
  • updating the firm’s Risk and Compliance materials on the intranet
  • completing and submitting Information Returns on a six-monthly basis to the Lobbying Register in compliance with the Lobbying (S) Act 2016
  • assisting the Data Protection Officer (DPO) in delivering the firm’s obligations under the Data Protection Act 2018
• Supporting Risk Strategy Managers in monitoring the firm’s compliance strategy:
  • liaising with departments and statutory role holders to ensure all firm risks and issues are captured in the Risk Register in line with the firm’s Risk Management Policy
  • monitoring day to day management of a central Compliance Matrix and Monitoring Register
  • conducting monitoring activities such as thematic file and process reviews
  • liaising with stakeholders to update risks, controls, and remedial actions
  • assisting with reports to the Head of Risk and Compliance (or Deputy) on the status of the firm’s risk profile
• Any other compliance activities, required by the firm

What you will need to succeed

• a strong commitment to deliver results and make a meaningful contribution in a team environment
• be able to identify and manage risk effectively and demonstrate a well-organised and logical approach to your work
• strong stakeholder management skills
• ability to convey large and complex information in a simple and concise manner
• accuracy in all aspects of your work ensuring all is to a high standard

Anderson Strathern are an equal opportunities employer.  Our policy is to recruit, develop, nurture and retain a diverse workforce following the guidelines of the Equality Act 2010.