Remote: Manchester, Liverpool, Leeds
Job Description: My client is looking for a Senior Compliance Manager who will sit within the Senior Management Team and will be responsible for reviewing the regulatory horizon, providing impact assessments and interpretation to meet the needs of the business.
Key responsibilities include:
• Maintain up-to-date business-level policies and procedures.
• Training - ensuring all staff are suitably trained in all relevant regulatory topics, including face-to-face training where necessary.
• Ensuring positive customer outcomes and compliance with company policies and the Compliance Monitoring Plan
• Record keeping - maintain documentary evidence within the Compliance Repository
• Upkeep of all compliance registers, including Operational Risk dashboards
• Updating and reviewing Business Continuity Plans, assisting in the co-ordination of testing where necessary.
• Ensuring that all complaints are handled fairly and in accordance with FCA Rules, liaising with external funders and the Financial Ombudsman Service, where required.
• Management information - designing MI to provide indicators of conduct and TCF outcomes
• Approval and logging of Financial Promotions
• Prepare for and assist with external audits
• Participation in management and committee meetings
• Regulatory reporting, including the submission of RegData returns and Connect applications
• Advising all levels of the business on current and future areas of regulation
The Person:
• Strong working knowledge of key regulatory requirements (GDPR, FCA sourcebooks and relevant codes of practice
• Previous Compliance experience within financial services
• Experience of working in a financial services compliance team; preferably within the consumer credit or motor finance sectors