Director of Compliance Assurance

The Director of Compliance Assurance is responsible for the planning, design and execution of the overall Compliance Monitoring & Testing Program (CMTP)

• We achieve cultural, consistent, commercial compliance - striving for regulatory risk management as a competitive advantage
• We have a strong back (we build trust, confidence, structure, stability, we challenge) with a soft front (we are friendly, engaging, patient, positive)
• If we build it, they will come - we are visible, helpful, make our interactions a positive experience
• We are on the field, not in the stands - being at the heart of the action, sleeves rolled up, have •muddy boots'
• We work smarter and are solution driven - it's easy to over complicate, harder to simplify but simplicity is sustainable and scalable; our goal is to help provide as clear, simple and timely a solution as possible
• We understand that data, technology and innovation underpin successful, evidence based compliance but the face of Compliance still has to be human

Beyond Finance maintains a permanent and effective compliance assurance team which operates independently of the first line. The team has responsibilities to monitor and, on a regular basis, assess the adequacy and effectiveness of the measures and procedures put in place in accordance with its obligations under the regulatory system, and the actions taken to address any deficiencies in the Company's compliance with its obligations.

As Director of Compliance Assurance you will maintain effective dialogue with a wide range of senior stakeholders across the organization to deliver focused continuous improvement to all regulatory compliance practices. To lead, motivate, develop, and manage a team of Compliance professionals to ensure the effective and efficient execution of the CTMP with a strong focus on positive customer experience and outcomes. Your responsibilities will include, but are not limited to the following:

• CMTP: Drive the delivery of assurance reviews that provide risk and control insight through the identification of findings or examples of best practice. Clearly articulate and document findings including the issue itself, impact to the business and root cause.
• Escalate significant issues identified in a timely manner.
• Track remedial actions identified in the course of reviews performed to resolution.
• Managing successful relationships: up to Executive level within the organization, promoting a customer centric and risk aware culture and ensuring key external stakeholders have confidence in how we are meeting our customers expectations and regulatory requirements to engage with Senior Management and the business in a consultative business- partner capacity on all matters relating to compliance assurance. Communicate to relevant stakeholders (control owners) on the design and operational effectiveness of controls and/or outcomes within their area of oversight.
• Providing advice and guidance: on compliance testing and monitoring programs, systems and controls
• Technology: identifying, implementing and embedding 'smart' and effective technology solutions to assist in testing, managing, monitoring and reporting of compliance standards and expectations
• Leadership: support and lead direct reports in their careers through ongoing performance management and development

• Subject matter experience regarding compliance testing and monitoring programs, risk management frameworks, consumer regulatory compliance, compliance technology solutions, and business understanding Of consumer financial services
• Strong team player who is persuasive, with highly developed communication and influencing skills and the resilience to cope with senior stakeholders and partners at all levels of business
• Experience in enterprise risk programs, compliance, operations or project management, or other relevant experience
• Knowledge of the FS industry and in particular how great customer journeys and communications impacts customer comprehension and experiences
• Detailed knowledge of our target customers (their needs, behaviors, instincts and experiential requirements), customer journey (touchpoints, experiences and points of potential risk/customer harm) and customer communications (outcomes focused)
• Detailed knowledge of operational processes and the impact these have in a service environment as well as the restrictions and guidelines applied in regulated financial services industries
• Strong understanding of consumer financial services standards and expectations Proven ability to lead and manage a small professional team, ideally gained in a consumer lending environment
• Experience in assessing and influencing cross-organization administrative processes and functions.
• Ability to set and achieve departmental targets