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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance monitoring within a UK FCA regulated environment, with a strong focus on risk-based methodologies, regulatory obligations, and data protection compliance. Capable of leading teams, producing evidence-based reports, and effectively engaging with senior management and regulatory bodies.
Highest-signal resume keywords
Compliance Monitoring ExperienceFCA Handbook KnowledgeData Protection KnowledgeTeam Leadership and DevelopmentReport Writing and Presentation Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk-Based Compliance MonitoringConsumer Credit KnowledgeFCA RegulationsUK GDPR ComplianceData Protection Act 2018Thematic Review DeliveryFirst Line Control TestingEvidence-Based ReportingRemediation TrackingInternal Audit Experience
Soft Skills
Sound JudgementPersonal ResiliencePlanning and Organisational SkillsIndependenceConfidence to Challenge
Certifications & Qualifications
IIAICACISI
Industry Keywords
PRINConsumer DutyCONCSYSCDISPSMCRMCOBFinancial PromotionsCustomer JourneyFCA Notification Requirements
About the role
Key responsibilities & impact- Own Lendable's risk-based compliance monitoring programme and lead the delivery team
- Provide independent second line assurance that the business meets legal and regulatory obligations
- Report to the Head of Compliance and deputise for them, including at Board meetings and sub-committees
- Own and refresh the compliance monitoring plan and methodology
- Maintain a monitoring universe covering PRIN, Consumer Duty, CONC, SYSC, DISP, SMCR, MCOB, the Consumer Credit Act, financial promotions and UK GDPR
- Scope and deliver thematic and BAU reviews across the customer journey
- Test the design and operating effectiveness of first line controls and provide assurance over first line quality assurance
- Issue evidence-based reports with findings, root causes, risk ratings and owned actions
- Track remediation to closure and validate its effectiveness
- Escalate actual or potential customer harm and assess redress and FCA notification requirements
- Produce monitoring MI for the Head of Compliance, executive management and the Board, and present it at committees
- Support FCA supervisory engagement, information requests and skilled person reviews
- Coordinate coverage with Internal Audit, Risk and first line QA
- Test UK GDPR and Data Protection Act 2018 compliance alongside the Data Protection Officer
- Lead, coach and develop the compliance monitoring team
- Plan resources and build capability through data, analytics and improved tooling
Requirements
What you’ll need- Demonstrable compliance monitoring experience within a UK FCA regulated firm, including designing, owning and delivering a risk-based compliance monitoring programme
- Experience of leading, managing and developing a team
- Consumer credit experience, with a strong working knowledge of CONC and the Consumer Credit Act
- Strong working knowledge of the FCA Handbook, particularly PRIN and the Consumer Duty, SYSC, DISP and SMCR, and FCA expectations of a second line monitoring function
- Data protection knowledge covering the UK GDPR and the Data Protection Act 2018
- Ability to write clear, concise, evidence-based reports and present findings to senior management, the Board and its committees
- Sound judgement and personal resilience, with independence and confidence to challenge the business constructively and escalate where necessary
- Strong planning and organisational skills, with the ability to deliver a plan across competing priorities
- Highly desirable: internal audit experience in a third line function and/or a relevant professional qualification such as IIA, ICA or CISI
- Highly desirable: secured lending experience, including knowledge of MCOB
- Right to work in the UK
Benefits
Comp & perks- Flexible approach tailored to each role
- Private health cover
- Retirement savings plans
- Employee referral programme with a competitive bonus
- Fully stocked kitchen and complimentary lunches prepared by in-house chefs on in-office days at select locations
- Cycle-to-work scheme
- Electric vehicle salary sacrifice schemes available in select locations
- Socials and connection events
- Regular opportunities for in-person connection through socials and off-sites for fully remote roles
- Opportunity to scale up a successful fintech company