Compliance Manager

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  • Consultant:

    Paul Clayton

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  • Published:

    10 days ago

Our client is recruiting a Compliance Manager who will report directly to the Chief Compliance and Risk Officer. You will be responsible for the management of Regulatory Compliance and act as the main point of contact in promoting compliance awareness across the business.

The role will involve:

  • Support the Risk and Compliance director in refining and embedding the three lines of defence model in risk and compliance management;
  • To monitor the regulatory environment using outputs from key bodies and regulators including the FCA, the ICO, FOS and Institute of Risk Management. To interpret the impact for the business and provide information and guidance to the business and embedding a sound compliance culture;
  • Provide support to the business to ensure the ongoing development of the compliance culture throughout the business through company communications and update training;
  • Provide oversight to support all employees in their responsibilities to comply with FCA/PRA regulations;
  • Be responsible for the sign off all financial promotions ensuring they meet regulatory requirements in accordance with the financial promotion process;
  • Provide regular updates and summary of current compliance position including any risks and action plans for improvement;

Key Requirements:

  • Diploma Level 4 qualified or equivalent as a minimum requirement
  • Ideally AF3 qualified or equivalent (or working towards)
  • Pensions compliance monitoring experience