To oversee compliance and monitoring at group level, implement relevant compliance related reporting, uphold ISO standards, training plans, and process improvements. Ensure that company compliance objectives are met, and all reporting, compliance and process improvements are implemented and communicated effectively.
Key responsibilities include:
• To be the business subject matter expert in Financial Conduct Authority (FCA) and Data Protection regulations and ensure the company is compliant with these.
• Review existing processes and implement new processes to ensure compliance.
• Perform internal compliance checks on client files and calls, and data protection.
• Ensure third party compliance and due diligence across all introduce business channels.
• Uphold and maintain ISO certificates and manage the internal BMS system.
• Successfully complete all external audits performed on the business.
• Manage and support the compliance team at group level and ensure that all compliance related actions are delivered consistently in a timely manner
The Person:
• Strong Compliance experience within financial services
• Team management skills
• Knowledge of GDPR and Data Protection
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.