Supervisor, Regulatory Compliance

Job Title:

Job Description

THE ROLE PURPOSE

To provide independent oversight and assurance of the Tier 1 and 2 control environment through audits / assurance reviews for Concentrix and client regulatory and contractual requirements.  

By providing controls and checks to:

• Evidencing adherence to key regulatory Manuals and frameworks agreed across the account
• Oversight to demonstrate compliance with Regulatory and Contractual requirements
• Identify risks and issues impacting the customer journey
• Provide recommendation to improve the risk and control environment 

• Evidence conformance with processes
• Demonstrate compliance with Regulatory, Client and Concentrix requirements
• Identify fraud/potential fraud to protect Concentrix and its clients
• Champion the Concentrix Ethics and Compliance Culture

Risk Assessment and Controls

• Facilitate cross site/cross Line of Business consistency of regulatory processes, such as Consumer Duty and Treating Customers Fairly (TCF).
• Support Risk Assessment for significant changes reporting outputs to internal stakeholders and where appropriate client stakeholders.  
• Actively support the change management process to ensure all relevant risks are highlighted through the impact assessment on all Change Requests.
• Carry out risk based process audits and prepare clear reports. 

Compliance, Governance & Reporting

• Assist the operation in identifying actions to close out audit findings and track completion
• Risk reporting to be consistent, clear, accurately represented and communicated in a timely manner to the appropriate audience
• Be the interface for other Concentrix Business audits, client audits and third party audits
• Ensure all client, regulatory and statutory trainings are taken on time, tracked and flag associated risks and issues  
• Champion the Culture of Ethical Business and Compliance 
• Work with Account Management and Operational Delivery to ensure scripts meet client and regulatory requirements.

• Liaise with Quality to ensure that compliance elements of quality scorecards reflect client and regulatory requirements.
• Collect and collate data on a regular basis to ensure reporting standards and requirements are met
• Maintain control of Compliance logging/schedules for own remit
• Ensure all new policies have internal and external Compliance sign-off
• Highlight any concerns around Fraud and drive Fraud Prevention activities on the Delivery floor

Candidate Profile

• Applies company policies and procedures to resolve issues
• Approachable/strong interpersonal skills and the ability to communicate at all levels, face to face or using remote tools
• Professional & Confident
• Can identify/determine appropriate action(s) required to solve a range of complex problems
• Strong investigative, planning and organisational skills
• Attention to Detail
• Track record of working to deadlines
• Confident working remotely and as part of a team
• Integrity – Does the right thing
• Flexible

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