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Compliance Manager

  • Location: Birmingham
  • Salary: £Competitive Salary per year
  • Job Type:Permanent

Posted 13 days ago

  • Sector: Compliance
  • Contact: Paul Sherlock
  • Expiry Date: 05 June 2022
  • Job Ref: PS/19001(B)

Our client is an ethical and well-respected financial services organisation that are recruiting a Compliance Manager to join the business and assess adherence to regulatory standards. You will also identify areas of industry good practice and maintain relationships with partner firms, giving both advice and guidance.

Key Responsibilities:

• Plan and execute compliance oversight activity and relationship management visits

with partnered firms and their agents.

• Produce high quality reports that bring issues and emerging risks to the attention of

the firms.

• Assess registered firms’ policies, procedures and operational frameworks for

adherence to standards and codes and make recommendations.

• Act as the first point of contact and main liaison for a portfolio of firms.

• Carry out investigations into systemic or significant breaches, identifying issues and

providing reports and recommendations to the organisation.

The Ideal Candidate:

• A compliance assurance and oversight background, in the UK retail financial

services industry with a good understanding of the regulatory landscape.

• Strong report writing skills with the ability to articulate key findings in a concise and

robust manner.

• Ability to undertake detailed analysis, ensuring all relevant information has been

accessed and reviewed in a timely manner and engage with stakeholders.

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.

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