Compliance Manager
3 weeks ago
Job Mission :
- Provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements.
- Contribute to the Compliance team in association with the Head and Compliance and Risk to ensure procedures and services delivered adhere to the regulations that apply to a regulated financial services business.
- Ensure all relevant regulatory requirements are met during operational practice including the FCA’s Consumer Duty, Conduct Rules and Principles.
- Monitor and brief Operational Teams on developing or crystallised regulatory risks, themes and pronouncements as appropriate.
- Engage with clients as appropriate to enhance OPAL’s service in the delivery of critical or important functions.
- Participate in and contribute to the compliance culture of the broader management group of the businesses.
Principal Job Objectives
- Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the mandatory requirements
- Provide Compliance and AML oversight and Data Protection advice and guidance
- Contribute to regulatory returns being completed accurately and in a timely manner
- Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
- Ensure all day to day business as usual compliance breaches and complaints handling support is provided in a timely manner.
- Act as a second line defence to identify and monitor risks and provide a feedback loop to Head of Compliance & Risk and the Operational Practice of the business
- Provide ad hoc compliance training and coaching
- Contribute to the Compliance Monitoring Plan in order to analyse the company’s compliance with regulatory requirements including FCA obligations, Data Protection, Fraud Prevention and measures, Consumer Duty Basic Principals and anti-money laundering.
- Contribute to and maintain OPAL’s Breach Register, ensuring Breaches are reported and completed to a high standard and within the agreed SLAs.
- Contribute to and input to OPAL’s complaint management service including maintaining the OPAL clients Complaint Register.
- Analyse the causes of regulatory and procedural breaches and ensure that practical remedial actions have been taken to mitigate against future occurrence
- Contribute to the operation of OPAL’s PEP and Sanctions screening tool to satisfy the regulatory requirements of OPAL’s clients.
- Review and maintain the Compliance Manuals of both firms (OPAL and SFPL)
- Escalate any ISO security risk within OPAL
- Implement controls, document procedures and complete risk assessment reviews as required
- Ensure that any Compliance security breaches are completed within 24 hours as per the procedures.
Essential knowledge, skills and experience required at recruitment
- Minimum of 5 years’ experience in Financial Services, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector
- Appropriate qualifications in financial services
- Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally
- Display sound and proportionate judgement
- Display a commercial outlook
- Awareness of the FCA handbook and data protection
Additional Knowledge required to become fully competent
- Good understanding of administration and systems within the companies.
- Familiarisation with the Life, Protection, Investment products
- Understanding of our Client Relationships and Contractual obligations
- Proficient in use of Word, Excel, PowerPoint
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