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Compliance Manager

  • Location

    Chorley

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    c. £30,000 + Benefits

  • Consultant:

    #

  • Email:

    pclayton@merje.com

  • Job ref:

    PC/16544a

  • Published:

    about 1 month ago

The role of the Compliance Monitoring Officer is to assist the Compliance Manager in the successful delivery of the firm’s internal compliance and oversight program.

Key responsibilities include:

 

  • Conduct routine compliance monitoring reviews in with line with the Compliance Monitoring Plan
  • Conduct both field based and desktop reviews of retail partners
  • Assess the compliance arrangements of retail partners on an ongoing basis by reviewing websites, policies, processes & marketing materials and providing feedback with recommendations
  • Produce regular reports and MI for key stakeholders
  • Play a key role in the identification, mitigation and ongoing management of risk
  • Provide guidance on regulatory matters to the business and its retail partners
  • Support retail partners and lenders in the timely resolution of complaints

The Person:

  • Working knowledge of FCA regulations, in particular CONC, DISP and SM&CR
  • Experience of working in a compliance role, such as compliance monitoring, auditing or quality assurance
  • Experience of working in consumer credit or financial services