Compliance and Audit Support Adviser (31.5 Hours - Part Time)
Compliance and Audit Support Adviser (Part Time 31.5 Hours per Week)
£20,000 - £28,000 Dependant on Experience (Pro-Rata) + Benefits Package
What are We Looking For?
A team player who can work diligently to support the CLS business. The role/s forms part of the CLS second line of defence within the CLS three lines of defence risk management framework. The role requires a high standard of professional conduct and a requirement to be able to make independent assessments of the standards of regulatory compliance in the CLS business, both on an individual account by account basis and from a more holistic conduct risk viewpoint.
The CLS business is currently comprised of three main regulated entities (Topaz Finance Limited (Topaz), Computershare Mortgage Services Limited (CMS), and Homeloan Management Limited (HML)). CMS and HML perform services for third party lender clients and Topaz is responsible for regulatory compliance in respect of its own customers as master servicer and/or legal title holder to several loan portfolios. Topaz is currently in a rapid growth phase with asset migrations ongoing and the origination of new lending under the Zephyr Homeloans brand.
The Risk and Compliance teams perform activities across the three legal entities within the business unit known as Computershare Loan Services (“CLS”) UK. It is therefore possible that performance of these activities may at times result in and/or identify areas of conflicts of interest which may be detrimental to the ability of one or another entity to fulfil its regulatory; contractual and /or fiduciary obligations.
What Will You Be Doing?
- Provide support in the management and oversight of client’s external assurance and due diligence audit activity across CLS UK, including onsite management of auditors and completion of operational pre-audit questionnaires.
- Direct and liaise with the relevant business units, both within CLS UK and wider Computershare group where relevant, in the delivery of client and external assurance audit activity impacting CLS UK.
- Provide support, as directed by the CLS UK Head of Enterprise Risk, Audit Support Specialist and/or CLS UK’s Chief Risk Officer, in the delivery of any third party assurance work being delivered by the Global Client and External Assurance team.
- Source evidence from relevant CLS systems and/or relevant business areas, as required, to support client and external audit assurance activity.
- Source responses to external assurance related queries either from the business or from the external auditors.
- Direct responsibility for the release of information in line with clients’ and Computershare policies and procedures.
- Provide support in the production of Audit Support MI (client and CLS Governance related) as directed by the CLS UK Head of Enterprise Risk and the Audit Support Specialist.
- Provide support to the Global Client and External Assurance Team in completion of the external assurance reports as directed by CLS UK Head of Enterprise Risk, Audit Support Specialist and/or CLS UK Chief Risk Officer.
- Engage in the completion of Compliance Monitoring activities where required to contribute to the provision of second line regulatory compliance assurance that the CLS business is meeting relevant regulatory requirements and obligations.
- In particular, the focus is on assessing whether good customer outcomes have been achieved and business activities are compliant with FCA Principles for Business and Mortgage Conduct of Business rules (MCOB).
- Research, define and scope monitoring reviews of CLS business areas in line with the agreed Compliance Monitoring plan.
- Complete testing activity through investigation, review and analysis across CLS operational activities.
- Compile results and report findings from your review work, to include formulation of recommendations for ant necessary remedial and/or improvement actions.
- Identify and assess risks arising in the business making reference to prevailing regulatory requirements and best practice.
- Liaise with all levels of staff across the business as appropriate during testing activity.
- Produce objective, timely and well-presented monitoring reports and gain approval for distribution to the CLS Senior and Executive Leadership Teams.
- Propose changes and/or remedial actions to improve adherence to regulatory requirements including areas of potential conduct risk.
- Gain commitment from the business to address any issues identified and formalise SMART recommendations.
- Logging and validation of issues and associated actions and evidence of completion submitted by the action owners.
Desirable Skills, Experience and Competencies
- Significant experience of working in a regulatory environment preferably within a mortgage servicer and or lender.
- Client management and engagement.
- An appropriate balance of people and technical skills.
- Working knowledge of (all not essential):
- FCA Handbook, in particular MCOB, CONC, SYSC, DISP, OFCOM, Irish Mortgage Regulation and Commercial Lending.
- Conduct Risk
- Ability to work independently, able to plan and direct own work.
- Good communicator.
- Good knowledge of financial services business practices and procedures.
- Risk Management experience.
- Experience of change programmes and projects.
- Understanding of ROI mortgage regulation.
- Institute of Financial Services Certificate in Mortgage Advice and Practice (CeMAP); or
- CeMAP Bridge plus Financial Planning Certificate (FPC); or
- CII Mortgage Advice Qualification (MAQ) plus FPC.
What’s In It For You?
Lots! We offer a fantastic benefits package which includes 25 days annual leave, pension scheme, life assurance, discretionary bonus and much more.
For this role we are open to flexible working and working from home options. This is something we are happy to discuss at application stage.
We support and encourage our employees to develop and we have an excellent training academy here at Computershare.
You really do get out what you put in.
So, if this is something that sounds exactly what you are looking for, then don’t hesitate, apply today!
Keeping Our Employees Safe
We’re currently performing all interviews, assessments and background checks online to ensure the safety of everyone involved.
Most of our employees are working remotely. For people who need to be in the office we’re following government guidelines on safe working. This includes regular cleaning, maintaining safe distances and limiting the number of people in the office at any one time.
Should you be successful in securing a role and it can be performed from home, we will arrange for equipment to be sent to you and your onboarding and training will be provided remotely.
The welfare of our employees is of paramount importance to us and we will continue to do everything we can to keep our people safe during this difficult time.
Diversity and Inclusion
At Computershare, we believe that having a culture of inclusion is essential in delivering good results. Attracting, retaining and developing a diverse workforce where employees feel valued, respected and empowered allows people to reach their full potential. As a business this diversity helps us to better reflect and understand our customers’ needs to allow us to drive better outcomes.
All successful candidates will be required to undergo the Computershare Pre-Employment Screening Process before commencing employment. Employment will be subject to satisfactory clearance on background checks including Identification, Passport Validation, Finance, Qualification, Employment / Personal referencing and Criminal Record Basic Disclosure checks.
Computershare Investor Services PLC is registered in England and Wales No 3498808 and the registered office address is: The Pavilions, Bridgwater Road, Bristol, BS13 8AE.
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