Compliance Policy Manager
2 weeks ago
We're currently looking to recruit a Compliance Policy Manager to join the team. The Compliance policy team purpose is to leverage our relationships and expertise to provide advice, guidance, support and challenge to the business, in order to facilitate safe business growth and help our customers achieve their objectives. Reporting to the Senior Compliance Manager you will be providing input into the product governance, engagement with product teams, regulatory projects, operational change and oversight of financial promotions. What does the job involve? The key responsibilities of the role are as follows:
- Work with the Senior Compliance Manager and key stakeholders to continue embedding Consumer Duty across the business
- Review and interpret regulation and regulatory developments, determine potential impact to business and provide detailed advice and guidance to first line areas implementing business changes.
- Monitor external developments and changes in industry best practice and provide advice and challenge to the business in the further enhancement of its control environment.
- Play an active role in raising regulatory awareness through training in the business.
- Assist the Senior Compliance Manager in the enhancement, implementation and maintenance of the Product Governance framework in line with FCA regulation.
- Provide oversight to all documentation sign off including financial promotions.
- Maintain oversight of FCA use of powers of product and financial promotions intervention and report to the business, including attending FCA or other events or seminars as required.
- Assist in the provision of reports and MI in relation to compliance activities to governance committees/bodies as required.
- Provide compliance CASS oversight, attending meetings where required, and assist the CASS Team with any Compliance related CASS queries.
- Provide oversight of the Vulnerable Customers (VC) processes and provide support to the business where required.
- Previous experience and knowledge of compliance in an FCA regulated firm.
- Degree and / or appropriate professional qualifications
- Good knowledge and understanding of the FCA Handbook, in particular in relation to the Consumer Duty and COBS rules and guidance.
- Understanding of the FCA Client money and asset (CASS) rules.
- Understanding of asset management and associated regulation
- Highly effective planning, organisational and time management skills.
- Effective communication skills, both written and verbal including the ability to communicate effectively and credibly at all levels including with senior management.
- Tenacity to follow through issues and challenge operational teams at a high level.
- Knowledge of pension, investment and stock broking products.
- Generous holiday allowance of 26 days, increasing up to 31 days with service, plus bank holidays
- Holiday buy/sell scheme
- Hybrid working policy (after initial training period) and casual dress code
- Discretionary bi-annual bonus and contributory pension scheme
- Healthcare Cash Plan
- Buy as you earn share scheme and free annual shares scheme
- Paid study support for qualifications
- Bike loan and season ticket loan portal
- Discounted PMI and Dental plus enhanced maternity/paternity scheme from day one
- On-site gym and personal trainer led classes, paid volunteering opportunities, free social events and more
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Compliance Policy Manager
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Salford, United Kingdom Aj Bell Limited Full timeWe're currently looking to recruit a Compliance Policy Manager to join the team. The Compliance policy team purpose is to leverage our relationships and expertise to provide advice, guidance, support and challenge to the business, in order to facilitate safe business growth and help our customers achieve their objectives.Reporting to theSenior Compliance...
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