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Compliance Manager

  • Location: Sheffield
  • Salary: c£40,000 + Benefits per year
  • Job Type:Permanent

Posted almost 3 years ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email: pclayton@merje.com
  • Expiry Date: 27 June 2021
  • Job Ref: PC/17553

My client has a fantastic opportunity for an experienced Compliance Manager to join them who will report directly to their Chief Risk Officer. You will be responsible for assisting the CRO delivering a robust, effective risk and compliance programme to ensure the business meets its regulatory responsibilities.

Key responsibilities include:

  • Support the Chief Risk Officer in embedding a robust strategic risk management framework and policy oversight/development;
  • Monitor the regulatory environment using outputs from key bodies and regulators including the FCA, the ICO and FOS, to interpret the impact for the business;
  • Provide key compliance & risk information, advice and guidance to the business;
  • Provide support to the business to ensure the ongoing development of the compliance culture throughout the business;
  • Provide oversight to support all colleagues in their responsibilities to comply with FCA/PRA regulations, including T&C schemes, to ensure the business remains in line with regulatory requirements and industry best practice;
  • Monitor business activities and provide feedback to colleagues in relation to compliance with relevant legislation;
  • Support the Chief Risk Officer in providing assurance to the Board around the delivery of good customer outcomes through design and implementation of a robust monitoring programme, including mitigating actions
  • To liaise with other entities and associated businesses of the firm to ensure harmonious and effective relationships are maintained and developed;
  • Responsible for approval of financial promotions ensuring they meet regulatory requirements in accordance with the financial promotion process;
  • Manage the company complaints process, ensuring that the processes are robust and ensuring that complaints are handled in accordance with regulatory and business requirements;
  • Promote a risk & compliance aware culture throughout the business through training and regulatory updates

The Person:

  • Previous experience of working within an FCA regulated environment, ideally within an advisory firm
  • Diploma Level 4 qualified or equivalent as a minimum requirement
  • DipFA qualified or equivalent
  • Cemap qualified

 

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.