Job Description: Our Client is a leading Financial Services organisation with an excellent reputation and longstanding client base. They are currently recruiting for a Compliance Manager, in this role you will support the Governance Executive in ensuring statutory, regulatory and relevant Code compliance for designated functions.
Key responsibilities include:
To assist the Governance Executive, in the development of plans, policies, procedures and systems to ensure the department achieves its objectives in relation to conduct risk and treating customers fairly, compliance with MCOB, ICOBS, BCOBS, AML/CTF/fraud prevention, data security, data protection, complaints, health and safety, and any other regulation/guidance required.
To interpret regulation / legislation in order to provide advice, support and guidance (as appropriate) to the business in the implementation of regulatory / legal requirements to ensure full compliance.
To carry out / assist with, evidence and report on 2nd line Compliance monitoring activity, monitoring reviews and branch inspections, to ensure compliance with regulatory, statutory and procedural requirements in accordance with the agreed Compliance Monitoring Programme and to provide feedback to relevant Managers.
To ensure that regulatory requirements in respect of Anti Money Laundering (AML) and Countering Terrorist Financing (CTF) are complied with.
To carry out/assist in the recording, monitoring and reporting of all activities associated with Financial Crime (including AML/CTF and Fraud).
To assist the Governance Executive on internal and external fraud investigations.
To ensure that necessary training, learning and development opportunities are provided to the departmental staff in order that they may carry out their duties satisfactorily and in accordance with the company’s documented policies and procedures.
To manage, supervise and coach the Compliance Department staff on a day to day basis to have an engaged, motivated and successful team.
Previous experience and qualifications:
Good standard of education to degree level or equivalent (either professional qualification or by experience).
Previous experience within a Compliance related role within Financial Service.
Previous experience of leading, developing and managing people
Knowledge of relevant FCA/JMLSG/ICO Regulatory rules and guidance, including in respect of MCOB, BCOBS, Financial Crime, Data Protection, Complaints.
A minimum of 2 years’ previous experience in a Compliance role, preferably within 2nd Line.
Desired Accredited Compliance related qualification i.e. CeMap or equivalent qualification.