Compliance

• Maintaining proactive compliance capability
• Periodic review of systems, policies and guidelines to look for improvements and ensure ongoing compliance
• Monitoring and Quality Assurance frameworks to detect systemic issues
• Review of high-risk workflows (vulnerable customers, billing, complaints)
• Internal audits and spot checks
• Continuously improve process design & controls
• Sit alongside process designers to ensure controls are embedded early in a process
• Provide operational interpretation of regulatory obligations
• Apply scalable solutions to Operations processes to improve customer experience and reduce business costs
• Reporting & regulator engagement
• Maintain a forward view of emerging regulatory areas and risk
• Prepare regulatory reports throughout the year and responses to ad hoc queries from regulators, escalation point for complaint and Ombudsman case management
• Structured support for Operations
• Champion a compliance-centric culture within the organisation
• Help to build training, SOPs, tools, dashboards
• Support Operations to feel confident they can own their compliance domain

Compliance Specialist

Senior Consultant, Entity Governance & Compliance

Risk and Compliance Advisory Practice Lead

Product Compliance Engineer