Financial Services business, located close to Manchester, are looking to appoint a Compliance Manager to lead a small team of compliance executives. Reporting to the Chief Financial Officer, the role holder will lead all compliance activities for the business, and take responsibility to ensure the Business is compliant with all relevant Regulations whilst minimising risk.
The ideal candidate will have a proven track record providing advice, guidance and policy in relation to the FCA’s CONC sourcebook, and have an in depth knowledge of the wider FCA handbook and regulatory framework that underpins the consumer credit industry. Experience gained within a consumer hire or credit broking firm would also be of great interest.
Key responsibilities include:
- Acting as subject matter expert on Regulatory requirements, including changes and guidance from the FCA, ICO, FOS, CMA, ASA.
- Responsibility for Regulatory reporting and liaising with the Regulators including FCA, ICO, FOS and trade bodies. This includes GABRIEL/RegData reporting, CONNECT applications and handling any information requests from the Regulators and Authorities.
- Coordinating and managing Compliance Monitoring programme and reporting results to the Chief Financial Officer and to the Board.
- Development, implementation and regular reviews of Company Policies, Processes and Procedures:
- Influencing others to understand the importance of compliance and provide support with training material and feedback to departmental managers that may require compliance support.
- Acting as a Money Laundering Reporting Officer and complying with all statutory requirements applicable to this role.
- Acting as the Data Protection Officer and complying with all statutory requirements applicable to this role; monitoring compliance with GDPR and other data protection Regulations, our data protection policies, awareness-raising, training, and audits.
- Regular reviews of Company’s website and financial promotions (as part of the Company’s compliance monitoring programme) to ensure compliance with regulatory obligations and requirements.
- Identifying and managing Regulatory, Governance, Conduct, Data Security, Financial Crime and other risks and ensuring the Risk Management framework remains up to date, including the incident management framework and sign-off of remedial actions.
- Preparing FCA regulatory and Compliance related internal reports.
- Monitoring changes in Regulatory guidance regarding financial/marketing promotions, working closely with other departments to ensure the business remains compliant.
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.