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Compliance Manager

  • Location: Lancashire
  • Salary: Up to £60,000 + Company Car & Excellent Benefits per year
  • Job Type:Permanent

Posted about 1 year ago

  • Sector: Compliance
  • Contact: Richard Abelson
  • Expiry Date: 07 March 2023
  • Job Ref: RA/9925

Our clients are an exciting, forward-thinking brand in financial services. They are looking for a Compliance Manager to support the growth of the business and increased amount of workload.

You will report directly into the Head of Compliance and provide the group with basic advice on FCA compliance, including compliance with ICOBS, CONC, SUP etc. and the NEW Consumer Duty.

Role Responsibilities:

•Co-ordinating information for RegData returns for the group (from Accounts, Sales, Training, HR etc) and submitting the returns on time.

•Completing Connect applications – including Long Form A, Firm Details, Updating trading names, FCA Directory Persons, AR applications etc;

•Communicating with all colleagues in the group about FCA compliance and liaising with the Data Protection Manager if required in relation to GDPR issues that arise;

•Assisting Head of Compliance by completing necessary information and reports including submission of FCA information requests and internal reports.

•Liaising with external third parties as and when necessary and building positive relationships, exchanging information and completing surveys if needed;

•Updating internal policies and procedures if required.

•Managing the Compliance Department (team of 5): authorising holidays, administering sicknesses, regular appraisals, on the job training, recruitment etc;

•Overseeing the effective operation of the compliance inbox ensuring that all compliance related enquiries and matters across the group are dealt with appropriately.

•Ensuring all internal reports are gathered and circulated on time such as the Compliance Dashboard, Training & Competence, Regulated Complaints, Compliance Monitoring etc.

•Overseeing finance commission complaints – by ensuring that deadlines for responses are met, required information is disclosed and any associated Data Subject Access Request SAR (if applicable) are processed on time; and

•Overseeing regulated finance and insurance complaints for the group and ensuring that responses to the Financial Ombudsman Service are provided in a timely manner.

•Willing to travel around the group if required such as attendance at meeting.

•Attendance at meetings by Teams and face to face if required.

•Other duties commensurate with the position

Key Skills and Responsibilities:

•At least 3 years working as a senior Compliance Officer or Compliance Manager

•Experience of working in a retail environment

•Knowledge of the FCA Handbook, ICOBS, CONC and DISP

•Knowledge of Treating Customers Fairly and the NEW Consumer Duty

•Basic knowledge and understanding of data protection and GDPR.

•Ability to complete and submit information to the FCA using relevant electronic systems.

•Ability to give clear and accurate compliance advice to the group on FCA related matters both orally and in writing.

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.

If you would like this job advertisement in an alternative format, please contact MERJE directly.