Head of Quality, Governance & Compliance
Strategic Funding business for Law firms
Manchester based - very fluid
Salary - up to £60k + Bonus & Benefits
Leading strategic funding partner within the legal financial services remit are looking to recruit an experienced Governance and Compliance specialist alongside the founders and executive team to develop the business which has had a highly successful launch and very ambitious plans for growth.
The business operate in a very niche sector and focus on a select number of mid-sized companies primarily based in the North of England. The Head of will have full responsibility for partnering with said clients to ensure they are operating according to external regulatory requirements, internal compliance policies and required governance rules that would meet and exceed the expectations of our external funders.
This will be achieved by:
- Providing assurance that external partner law firms are operating within regulatory guidelines and are managing cases which adhere to the business' criteria and case journey expectations.
- Ensuring the business is effective in delivering appropriate advice, guidance and challenge to the business and law firms on internal compliance and governance matters.
- Implementing on-going assurance of and adherence to relevant Policies and Business Standards within the Group
- Providing this Compliance support whilst facilitating good working relationships internally and externally, through strong communication, flexibility of approach and decisive remediation's plans, as necessary.
The successful candidate will be responsible for the following activities:
- Responsible for Internal compliance to external regulation namely; GDPR, HSE and AML.
- Implementation and maintenance of documented and effective compliance procedures consistent with internal standards, and business goals.
- Oversight of compliance to lending governance and procedures for end-to-end case management within the business and the partner Law Firms.
- Support and challenge the Law firms on their compliance operations from an internal and regulatory compliance standpoint, providing advice and guidance to ensure a robust and resilient framework.
- Responsible for suggesting improvements to enhance the business' internal Governance structure to ensure a fair, reliable and resilient business.
- Coordinate the data gathering for any prospective / current funder activity and manage the necessary VDR content and access.
- Ensure that we have appropriate second line oversight of business practices/processes that are intended to ensure our operations are compliant at all levels.
- Preparation of Monthly Compliance report and/or discussion papers for departments or Group committees as required.
- Support the Head of Audit in the preparation of the annual compliance executive summary and the resultant risk-based compliance plan.
Person specification & background:
- Extensive experience in a Quality Compliance field, preferably in consumer credit or litigation funding
- Previous experience of compliance monitoring and / or auditing
- Experience in management of case files in a law firm
- Current and actively maintained knowledge of the regulatory environment, including good knowledge of the SRA handbook and how the relevant regulator(s) operate. Able to apply this in a practical way to business processes, procedures, and controls.
- Experience of managing projects, particularly in Compliance and governance
- Able to build and manage relationships with internal and external stakeholders.
- Strong organisational skills and attention to detail
- Strong written and oral communication skills
- Initiative, proactivity, enquiring approach, resourcefulness
- Adaptability, ability to embrace and respond positively to change
- Analytical and investigative skills, logical reasoning and problem-solving skills - individually and collaboratively
- Ability to work under pressure and manage your own time effectively
This is a fantastic opportunity for someone looking to join an established, exciting and growing business!
or call us on 01204 326 444