Compliance Manager

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  • Salary:

    £50,000 - £65,000

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  • Published:

    over 1 year ago

You will be supporting the Head of Compliance & Conduct in ensuring that the firm operates in accordance with its regulatory obligations, and in a way which puts the customer at the centre of its operations. You will be tasked to actively promote and advocate an effective compliance and consumer protection culture.

Key Responsibilities:

  • Assist the Head of Compliance & Conduct in the successful deployment of the approved Compliance Monitoring Plan, including contribution to the construction of the plan and the logistical planning of reviews
  • Be a key contact and support as needed for the CRO in responses to Regulator queries and/or thematic reviews and projects
  • Undertake appropriate first line oversight of the independent complaint handling procedures
  • Recommend improvements to policy & procedure where identified as being appropriate
  • Maintain an up-to-date knowledge of all relevant regulatory initiatives, rules, guidance, insight and current thinking. Recommend to the Head of Compliance & Conduct any enhanced monitoring resulting from any developments
  • Assist the Head of Compliance & Conduct in the appropriate conduct risk assessment for change initiatives and product development initiatives as required
  • Good knowledge and understanding of the FCA Handbook and PRA Rulebook, BCOBS, MCOB and SYSC, as well as knowledge or experience of Payment Services Regulations
  • Provide practical and pragmatic support and guidance to the business in relation to regulatory matters
  • Build & maintain relationship management with key business partners at senior level
  • Analysis and summary of new and existing regulatory requirements to ensure that they are well-understood by the business
  • Interpret and enhance the firm’s Conduct Risk MI
  • Review and prepare summaries of regulatory change for the business, attend regular project meetings, based on your responsibilities as a Regulatory and Conduct Risk SME
  • Develop, review and conduct Regulatory Training and Materials for the business
  • Responsible for line management and development of Compliance officer

The Person:

The ideal candidate for this role would have strong knowledge of relevant FCA Handbooks including MCOBS, ICOBS and CONC. This candidate should be able to manage multiple stakeholders across different levels and functions.

A candidate for this role must have a solid understanding of conduct risk and be able to champion the ideas and thoughts of their peers. On this topic, a successful compliant manager should also have strong people management skills.

Applications are welcome from individuals with degree qualifications and/or relevant compliance qualifications.

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.