Compliance Oversight Officer

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  • Salary:

    c.£38,000 + £5K Car Allowance

  • Consultant:

    Paul Clayton

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  • Published:

    14 days ago

Job Description:  This role is a key component of the Compliance strategy to ensure that the Group achieves operational adherence to regulatory requirements and expectations in relation to relevant Financial Conduct Authority (and Central Bank of Ireland) legislative and regulatory requirements where the focus is on the compliance and monitoring of producers.

Key responsibilities include:

  • Support the Manager, Compliance Oversight in the execution and delivery of the Compliance Oversight Programme in relation to both thematic and producer oversight.  The role focuses on meeting the FCA & CBI regulatory requirements to take adequate steps to ensure that operational processes, procedures and producers comply with regulatory requirements and also treat our customers fairly.  Consider producer actions in the light of company obligations and that customers are treated fairly in their finance journey, whilst maintaining a commercial focus.
  • Take responsibility for the due diligence, training and management of Appointed Representatives assigned to you within your region from a Compliance and Regulatory perspective.
  • Assist the Manager, Compliance Oversight and the Head of Compliance in the production, agreement, implementation and review of strategic and business plans for the Compliance function in order to contribute to the overall compliant operations of the firm.
  • Build strong relationships with Operational and Sales areas and ensure liaison throughout Oversight activities (whilst keeping a second line independent focus).
  • Provide monthly report information on Compliance to enable Compliance Reporting.
  • Assist in the developments and management of operational procedures for compliance oversight, considering regulatory and industry best practice approaches.
  • Maintain close contact with senior management, provide input to regulatory policies, discuss any compliance breaches/ remedial action and provide guidance as required, to promote a culture of compliance and to identify the optimum course of action in all cases.

The Person:

  • Experience in a compliance or business role within a Financial Services or Insurance company of undertaking Producer, Field or Appointed Representative monitoring. 
  • Must have good knowledge in relation to CONC, Consumer Credit Legislation and SYSC.
  • Commercial focus, whilst maintaining regulatory compliance – ability to drive coherent solutions to business and regulatory issues.