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Supplier Assurance Officer

  • Location

    City of London, London

  • Sector:

    Operations & Middle Office

  • Job type:

    Permanent

  • Salary:

    £30000 - £35000 per annum

  • Contact:

    Will Goodman

  • Contact email:

    will@kennedypearce.com

  • Job ref:

    Assurance_1623146689

  • Published:

    6 months ago

  • Startdate:

    ASAP

Job Specification

My client, a leading Bank in the heart of the city are looking for a Supplier Assurance Officer to join there compact team where they will be reporting to the Supplier Assurance Manager

Summary of role

The role will be responsible for ensuring The Bank complies with FCA requirements for

intermediary and supplier oversight by way of monitoring the financial standing, performance

and compliance with regulation of the Banks' database of suppliers and introducers.

Key responsibilities

Provide first line of defence oversight activity across The Banks supplier and introducer

  • cohort
  • Visit existing suppliers and introducers to conduct formal audit reviews
  • Prepare supplier audit reports for publication to senior management and other
  • stakeholders
  • To maintain, run and action the banks' weekly ICO and FCA due diligence exception
  • reports
  • To maintain the departments electronic filing system and mailbox
  • Liaise with my clients Compliance Department in relation to supplier oversight activity and
  • audit reviews
  • Complete Ad hoc project work and other reasonable duties, as instructed by the
  • Directors and/or Head of Operational Excellence
  • Culture and conduct
  • Individual responsibility to demonstrate consistent behaviours in line with our
  • company values of Integrity, Communication, Togetherness, Forward Thinking and
  • Innovation, Fair Outcomes and Success, through own conduct and practices.
  • Comply with TCF and Conduct Risk Obligations attached to this Job Specification

Special requirements attached to this role

  • London based with the requirement to visit existing suppliers and introducers to conduct
  • formal audit reviews
  • Hours of work
  • Monday to Friday 09:00 - 17:30 with 1 hour for lunch
  • Person specification
  • Skills and Experience
  • At least 3 years' experience of working in an FCA regulated environment
  • Knowledge and experience of the FCA's Consumer Credit Sourcebooks
  • Self-starter who has an ability to work on their own and can communicate well with
  • brokers, suppliers and intermediaries as well as the Bank's senior management.
  • Ability to write high quality reports will be essential
  • A high level of interpersonal skills and ability to work cross departmentally effectively
  • IT literate in Excel, Word and Outlook
  • Attention to detail and a well organised approach to work
  • TCF (Treating Customers Fairly) and Conduct Risk obligations attached to this role

The successful candidate for this role has an obligation to adhere to Regulatory requirements and put the needs of the customer at the heart of how they work, with a focus

on the long-term interests and the fair treatment of our customers.

The successful candidate will be measured against a combination of the firm's values, behaviours and objectives

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