Compliance Policy & Advisory Manager

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  • Salary:

    to £85,000 + benefits

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  • Published:

    9 months ago

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 Policy & Advisory Manager to manage the policy and advisory team who are responsible for advising and assisting the senior management and the executive to comply with the firm’s obligations under the regulatory system.

Key responsibilities include:

  • Responsible for creating, completing, reporting and overseeing the implementation of remedial measures where deficiencies have been identified from the Compliance Risk Assessment (CRA) on at least a quarterly basis.
  • Creating, recording and updating a rules map for the organisation which identifies the relevant regulation for the regulatory activity undertaken.
  • Responsible for identification, impact analysis and oversight of implementation of regulatory change via the regulatory change tracker.
  • To provide guidance on the requirements for the periodic regulatory reporting and to ensure the information provided by the business is sent to the regulators in a timely manner.
  • Ensure effective regulatory and conduct risk training is delivered across the group.
  • To assist on the regulatory due diligence and regulatory and conduct risk assessments of all proposed new acquisitions and new appointed representatives.  
  • Responsible for assessing, registering and de-registering FCA senior management functions and approved persons, and CBI controlled functions.
  • To devise, implement, record and maintain the groups regulatory breaches register and monitor the closure of remedial action plans by the business.
  • To devise, implement, record and maintain the process for notifications of issues to the regulators.
  • To devise, implement and monitor the controls for the identification and oversight of material outsourcing arrangements by the business.
  • Provide the business with a proactive, expert and effective regulatory compliance advisory service on:
    • New or changes to existing regulation
    • New or changes to business products and processes
  • Production of regular regulatory and conduct management information for all governance fora up to the Board so they can identify, measure, manage and control these risks, covering:
    • Outcomes of the CRA
    • Regulation change and impact on the rules map
    • Regulator interactions and requests
  • Develop, implement and update adequate regulatory and conduct risk policies, standards and processes for the nature, scale and complexity of the business, and the nature and range of financial services and activities undertaken.
  • Attendance as deputy for the Head of Compliance at relevant governance committees.
  • Support the Head of Compliance in communicating the Compliance function’s vision, incorporating strategic goals and short-and medium-term priorities.
  • Ensure that timely and constructive feedback and coaching is provided to all team members, allowing them to grow and fulfil their potential

The Person

  • Excellent understanding of FCA/ CBI/ CCPC regulatory requirements and regulatory culture.
  • Proven experience in dealing with regulatory bodies.
  • Good understanding of consumer credit / insurance mediation activities.
  • A strong and demonstrated ability to provide pragmatic compliance advice 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.
  • Display initiative in identifying and presenting solutions to support activities and plans.
  • Forward looking and focused on effective processes and increasing efficiency.
  • Proven management, coaching and development skills.

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.