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Compliance Policy and Support Manager

  • Location: Lancashire
  • Salary: c.£45,000 per year
  • Job Type:Permanent

Posted over 1 year ago

  • Sector: Compliance
  • Contact: Sam Anderson
  • Expiry Date: 04 November 2022
  • Job Ref: SA/19634

Hybrid

​Our clients are one of the most exciting, forward-thinking brands in financial services. They are looking for a Compliance Policy and Support Manager to support the growth of the business and increased amount of workload.

You will contribute to the direction and implementation of the firms Compliance policies, for both its lending and advisory services. You will also be responsible for providing advice on and to provide oversight to the business on regulatory obligations and the delivery of good customers outcomes.

Role Responsibilities:

• Management of the Compliance Team, including the Policy & Support Advisory team and the Compliance Monitoring team

• Provide direct support, guidance, and advice to all areas of the business on Compliance matters including Financial Promotions, Customer outcomes, Vulnerable Customers, SMCR, Money Laundering Regulations and other regulatory requirements.

• To influence and assist all areas to establish and maintain appropriate standards of business practice consistent with company and regulatory requirements.

• To build effective, supportive relationships with key stakeholders to facilitate and develop the company and regulatory culture.

• To oversee and manage the team’s involvement in regulatory processes, including Financial Promotion reviews, complaints, AML, and monitoring activities.

• To support in the development of the compliance monitoring plan and methodology, and to manage adherence to schedule

• To promote a positive and proactive approach to embedding ‘best practice’ and with it a forward-looking compliance culture.

• To assist in evaluating employee performance and identifying training needs.

• To support ongoing compliance with the SMCR requirements for the Group

• To assist the Head of Compliance in meeting Regulatory reporting requirements.

• To deputise for the Head of Compliance when necessary.

• To support project work and meetings as required by the Compliance leadership team.

Key Skills & Experience:

• Compliance experience within the Financial Services industry.

• Experience in the management and supervision of colleagues.

• Working knowledge of the FCA Handbook (Essential), including MCOB.

• Experience in meeting Regulatory reporting requirements (desirable).

• Excellent interpersonal, verbal, and written communication skills.

• Excellent level of attention to detail, scores highly on quality control and experience of working in a fast-paced working environment but where accuracy is essential.

• An ability to demonstrate initiative, whilst applying and following a methodical approach to tasks would be an essential prerequisite.

• To have a knowledge and practical experience of the interpretation and application of legislation and regulation is essential.

• Experience of reviewing financial promotions in accordance with regulatory and company policy is preferential.

• Professional background accustomed to high standards of personal discipline and behaviour evidencing a strong work ethic, disciplined approach, and professionalism

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.