Reporting to the Chief Compliance Officer (CCO), it involves the monitoring and control of the activities of the business, its business partners, and introducers.
Main 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 all information, data, and records within Compliance to ensure information is readily accessible, searchable and up to date
- Manage the maintenance of the company’s Regulatory Business Plan, Compliance Risk Assessment and Compliance Monitoring Programme, involving all appropriate persons as required
- Manage responses to FCA consultations
- Manage and develop the Compliance Team
Qualifications:
- 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
- Awareness of current FCA and Consumer Credit legislation and regulations
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.
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