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Interim Compliance Manager (10 MONTH CONTRACT)

  • Location

    Preston

  • Discipline:

    Compliance

  • Job type:

    Temporary

  • Salary:

    c.£55,000 + Benefits

  • Consultant:

    #

  • Email:

    pclayton@merje.com

  • Job ref:

    PC/16461

  • Published:

    6 months ago

  • Duration:

    10 Months

The role will be responsible for monitoring the company’s compliance with its obligations under the regulatory system and to advise and assist the company in complying with those obligations. 

Key responsibilities include:

 

  • To manage the Compliance function in providing effective oversight and assurance of the company’s compliance with applicable regulatory requirements, codes of practice and industry guidance. This includes but is not limited to:
  • Provision of timely, clear and pragmatic advice and support to the business on current and future requirements 
  • Oversee regulatory horizon scanning processes 
  • Delivery of the annual risk-based Compliance Monitoring Plan and the tracking of any subsequent actions 
  • Production of Compliance assurance management information and reports for submission to the appropriate Management and Board Committees 
  • Annual reviews of Compliance related policies and frameworks
  • To support the outsourced internal audit function in the tracking of any subsequent actions and validation of actions prior to closure 
  • To support the company’s MLRO to establish, maintain and review the regulatory control environment in relation to the money laundering, terrorist financing, and sanctions risks associated with the company’s operations and its customers
  • Inform and advise the company and its employees of their obligations under data protection laws and regulation and assist in the development and implementation of the company’s risk based approach

The Person:

  • Minimum of 3 years previous Compliance experience in a financial services environment
  • Good understanding of the regulatory environment in relation to savings and mortgages
  • Knowledge and experience in retail conduct risk related issues
  • Strong experience of providing advice and guidance on regulatory standards

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.