Compliance Manager

1 month ago

Bicester Oxfordshire, United Kingdom Parke Lane People Limited Full time

Job Description

Our client, a growing and well established business based just outside of Bicester is seeking a Compliance Manager to join their busy team.

Job Purpose:

To manage the businesses relationship with the FCA, ensuring that compliance is maintained at all times. To be the Primary Contact with the FCA as the dedicated compliance resource within the business. That internal and external reporting is undertaken as required, and that any queries are addressed in a prompt and timely manner.

Key Responsibilities:

· Regulatory compliance management within the business; coordinating and developing the compliance monitoring calendar and internal deliverables across the regulated businesses

· Designing and maintaining the Compliance Monitoring Programme (CMP)

· Monitoring, and recording the results of the CMP and overall the businesses compliance with FCA Rules

· Ensuring the business complies with FPCOB and ICOB permissions

· Submitting Regulatory Returns, including Quarterly and/or Annual Financial Returns and other reports to FCA, within the prescribed deadlines, and the gathering of internal information in response to regulatory requests

· Ensure that appropriate management information (MI) is available to enable the board to exercise appropriate regulatory controls of the business

· Managing the relationship with the FCA effectively

· Handling FCA related compliance queries

· Recommending and initiating changes to systems, controls and procedures in response to FCA Rule changes, so far as they affect us

· Reading, and understanding the implications of, FCA Consultation Documents, Policy Notices, Notices of Disciplinary Action, Regulatory Updates and other publications etc

· Designing and maintaining the Compliance Policies and Procedures Manual ensuring that it is up-to-date at all times

· Ensure the firm has adequate leading and lagging indicators of fair treatment of customers which are measured, monitored and reviewed regularly

· Perform risk assessments to understand risk level, significance and scope, where appropriate making recommendations

· Organising the meetings and the reporting to the Internal Compliance Committee (ICC)

· Contribute to robust and effective compliance controls within the business

· Obtaining pre-approval from FCA for clearance events and making pre- and post- notifications to FCA of notification events, within the prescribed deadlines and in the prescribed manner

· Reviewing and approving all non-real time financial promotions and published recommendations prior to their issue by, or in the name of, the business

· Ensure Consumer Duty regulations are understood and implemented

· Undertaking and advising on compliance oversight on product changes

· Work collaboratively across the business including but not limited to – Sales, Marketing, IT and Finance

· Continually look to enhance processes and systems for effectiveness and efficiency

· Lead the compliance team ensuring resources are appropriately managed and deployed

Key Competencies

  • Strong attention to detail
  • Good communication skills
  • Client focus
  • Self-management
  • Team working
  • Achievement focus
  • Adaptability
  • Problem solving
  • Integrity, sensitivity and commitment

Person Specification

  • A minimum of 5 years’ experience working as a Compliance Officer in a regulatory compliance function
  • High level of IT skills to include Microsoft Excel and Word.
  • Committed to the provision of excellent service with excellent organisational skills
  • Good numeric and literacy skills
  • Strong reasoning ability
  • Strong sense of ethics and good judgement
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