Our client, a successful and well-respected Financial Services organisation are currently recruiting for a Compliance Manager. The main purpose of the role is to ensure the company meets with all external compliance requirements, to report on relevant issues and to be a member of Committee as required. This is a fantastic opportunity for a candidate who is looking to step up, increase the breadth of their experience or a very experienced candidate who is looking for a better work life balance and autonomy in their role. We would therefore be happy to accept applications from candidates with varying levels of relevant compliance experience.
Responsibilities will include:
- Developing, implementing and managing the annual Compliance Monitoring Plan
- Preparing regular Compliance reports for management
- Ensuring that the company is aware of all current compliance issues and that systems are in place to evidence compliance
- Developing and managing Compliance resource, systems and controls; assessing on-going effectiveness with the relevant regulation and legislation
- Maintaining a watching brief over emerging regulation and monitoring the implementation of appropriate policies and procedures
- Responsibility for Money Laundering Reporting as the MLRO within the company
- Monitoring and ensuring compliance of all documentation, product terms, advertising, marketing materials and website
- Holding the fair treatment of customers at the heart of everything they do
- Ensuring complaints are recorded and handled in line with FCA rules and internal procedures
- Working with other staff as required; reviewing, monitoring, tracking and reporting on all appropriate risks
Skills and experience desired for the role (flexibility will be shown depending on the seniority of the candidate):
- Experienced Compliance Officer/Manager/Director with experience from a financial services organisation – with mortgage and/or savings experience
- Knowledge of the financial services’ regulatory and compliance environment
- Good working knowledge of Anti Money Laundering
- Able to build relationships across the business to ensure that the risks are understood and conduct risk is built into the culture
- Commercial awareness and capability to stay up to date with changing legislation and regulation
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