about 1 month ago
Great opportunity for an experienced Compliance Manager to manage a talented Compliance team. The role will report directly into the Head of Compliance and ensure an effective regulatory framework is in place to help manage and control its regulatory risk through appropriate oversight and supervision. The ideal candidate will be someone who has experience managing key stakeholders, whilst having a strong understanding of MCOB and BCOBS, maintaining a good understanding of SYSC, AML and PSRs.
Key responsibilities include:
- Must have a good understanding of the regulatory landscape surrounding financial services.
- Must be fully abreast of the requirements of MCOB and BCOBS; and a good understanding of SYSC, PSR’s and AML.
- Must have stakeholder management experience.
- Must have experience with compliance monitoring and assurance activity.
- Effective day-to-day management of the Compliance Team (3 FTE).
- Lead the Compliance Forum to deliver and raise awareness of regulatory/business developments.
- Ensure compliance plans remain on track and lead on the more technical execution and delivery of regulatory assurance activity.
- Ensure first line controls are adequate and operate effectively.
- Provide regular reports to the Head of Compliance to deliver to appropriate committees which demonstrate effective oversight and control to manage regulatory risk.
- Ensure regulatory and conduct MI is fit for purpose and is analyzed and reported upon effectively.
- Lead and/or oversee key business projects to ensure effective engagement and delivery against project timelines.