My client is a market leader in their chosen field. Since its founding, a combination of organic growth and acquisitions have played a major part in the company’s progression to its current standing in today’s market.
As part of this exciting evolution, the organisation is now looking to appoint a Compliance Monitoring Manager to manage the Compliance monitoring team, with direct line management for a team of 5.
Key responsibilities include:
- Responsible for creating, completing, updating and reporting on the Compliance/Risk Monitoring Programme on at least quarterly basis to the relevant governance fora.
- Overseeing the implementation of appropriate remedial measures to agreed timescales, where deficiencies have been identified.
- To assist in the updating of the Compliance Risk Assessment with output from the Compliance/ Risk Monitoring plan
- To create and update the Compliance resource planning.
- To create and ensure the Compliance Monitoring Methodology is kept up to date.
- To oversee the delivery of the Compliance Monitoring activity on a quarterly basis.
- To assist on the regulatory due diligence and regulatory and conduct risk assessments of all proposed new acquisitions and new appointed representatives.
- To record on the groups regulatory breaches, register and monitor the closure of remedial action plans by the business issues identified from the Compliance/ Risk Monitoring Plan.
- Production of regular Compliance monitoring management information for all governance fora up to the Board so they can identify, measure, manage and control these risks, covering progress and outcomes of the CMP
- Ensure that timely and constructive feedback and coaching is provided to all team members, allowing them to grow and fulfil their potential.
- Understanding of FCA/ CBI/ CCPC regulatory requirements and regulatory culture.
- Good understanding of consumer credit / insurance mediation activities.
- A strong and demonstrated ability to deliver compliance monitoring activity and a thorough understanding of relevant regulatory requirements.
- Ability to communicate clearly and concisely on complex regulatory compliance issues at all levels, both internally and externally.
- Ability to resolve conflict and deal with confrontation through tact and skill.
- Proven management, coaching and development skills.
The role could be based anywhere in the UK and will incorporate a mixture of home, field and very occasional office based working at the company HO in Cheshire.
Salary is commensurate with experience but will reflect the significance of the role
Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.