Compliance Manager/Senior Manager
3 weeks ago
Compliance Manager
Head of Compliance
Circa £40,000 and comprehensive benefits package.
5 Per week (Hours of work will be flexible and dictated by the needs of the business, therefore it is expected that the successful applicant will work those hours necessary to successfully discharge the duties of the role).
To support the business in ensuring it complies with its obligations in relation to the regulatory bodies such as the FCA and ICO.
The successful candidate would be provided with the relevant support and training to conduct their role.
Provide oversight and monitoring support to safeguard that there is no material detriment to customer outcomes and required standards are maintained. Identify risks and deliver improvement, with a view to maintaining consistently positive outcomes.
Support and manage the business to review and approve FCA compliant Financial Promotions across different service lines.
Undertake and oversee elements of the compliance monitoring plan across all areas of the business.
Support, manage and develop a team of Compliance Officers across various work streams.
Oversee and assist with the development of documented processes and procedures across the business, encompassing the identification of risk and controls and monitoring adherence.
Report any issues and/or risks to the Head of Compliance as agreed.
Preparing relevant trend/outcomes reports reflecting the FCA's Consumer Duty requirements for submission to the Risk & Compliance Director/Board.
Work in collaboration with the Quality Assurance department to organise and attend monitoring levelling sessions to promote and ensure consistency.
Not your typical financial services firm...
We do this by delivering world-class customer experiences, continually innovating and embracing digital technology to make dealing with the company both efficient and engaging.
Significant in-house training and development facilities and empowerment of colleagues are just a couple of components that have helped this culture to thrive.
Added to this we want to work, collaborating with all our partners and suppliers to enable our customers benefit from the relationship. Show awareness - Be aware of how your actions and behaviours affect customers, colleagues and the business.
Commit to Development - Take responsibility for your personal development and that of the business.
Appreciate others - Recognise the contribution made by every colleague to the success of our business.
Financial Services compliance experience
Knowledge and experience of regulatory requirements
Experience in a Compliance Management role
Experience of approving Financial Promotions
Financial services qualifications:
Certificate in Mortgage Advice and Practice (CeMAP)
Certificate in Regulated Equity Release (CeRER) (Home Reversion 'top-up' unit or ER1)
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