Job Description | We are partnered with an established and growing Financial Services business in their search for a Compliance Manager. This role is part of the Compliance Department and involves the monitoring and control of the activities of the business, its business partners, and introducers. The role requires the management of the Company’s Compliance framework and promotion of adherence to all regulatory and Company standards. Role Responsibilities: To provide a business friendly and approachable service to all teams, whilst maintaining the necessary independence from these same teams Responsible for managing the Compliance Monitoring Programme Management of the Compliance Risk Register Assist the CCO with the identification and management of regulatory breaches. Review and assess the impact of any regulatory reports, notifications and information requests and gather information for their submission. Management of all information, data, and records within Compliance to ensure information is readily accessible, searchable, and up to date. Manage compliance sign off for marketing materials (email, social media, digital, PR, Blog, etc.) prior to their publication and provide feedback to the Marketing team. Manage the maintenance of the company’s Regulatory Business Plan, Compliance Risk Assessment and Compliance Monitoring Programme, involving all appropriate persons as required. Manage Compliance Induction Training for new starters and ensure training material is kept up to date. Prepare monthly compliance reports and contribute to the production of information for the Board and other committees. Manage responses to FCA consultations. Review changes to operational processes and procedures as required. Manage regulatory reporting. Support the business in any projects that require compliance input. Manage the accurate recording of FCA and industry body communications.
Key Skills & Experience: Educated to degree level or equivalent. Studies / examinations in Compliance related subjects Computer Literate, including MS office products and Email. Previous compliance experience Previous financial services experience – preferably in a consumer finance environment Knowledge and experience of Consumer Duty principles and practices Knowledge and understanding of working in an FCA regulated environment. Proven ability to write detailed policies and procedures. Strong evidence of experience in the review of policies and processes Experience of working in a team in an office environment Awareness of current FCA and Consumer Credit legislation and regulations Ability to understand and comply with documented policies and procedures. Excellent verbal and written communication Previous experience of RegData & FCA Connect systems is desirable.
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. |
