Compliance Policy
1 month ago
Fraser Carver recruitment are working with a rapidly expanding Financial Services company in the East Midlands who are looking to hire an experienced Compliance Manager into their risk & compliance function. You will primarily be supporting the Head of Compliance(Policy and Governance) to ensure that both current and future systems, processes and procedures deliver fair customer outcomes and ensuring that regulatory requirements are met at all times.
**Responsibilities**:
- Support the development and maintenance of systems, procedures and processes to ensure that our Appointed Representative firm meet the regulatory requirements
- Use critical evaluation skills to identify areas of compliance risk
- Identify areas of improvement to policy, process and procedures across the business and produce a project plan to support and execute change
- Carry out horizon scanning to ensure the business proactively reacts to regulatory change
- Assist in the collation and submission of regulatory returns
- Support the business with any projects as required
- Work closely with other members of the Compliance function to ensure a joined-up approach
- Assist in the creation of reports to Senior Management
- Contribute to SME groups in respect of changes and enhancements planned to support business strategy initiatives e.g., tech development
- Promote effective working relationships with key stakeholders to deliver business requirements - _for example L&D, Sales and Business Owners
- Escalation of areas of concern to avoid brand damage and breach of FCA Regulations
- Maintain effective working practices in line with the regulatory framework
- Contribute to compliance organisational strategies
- Maintain robust and effective compliance controls within the firm
- Demonstrate a strong commercial and business focussed approach with strong judgement and integrity
- Contribute to a culture of compliance across the group
- Represent the Head of Compliance (Policy and Governance) in their absence and as required at external meetings
**Skills & Requirements**
- Experience working within a regulatory risk/compliance role within the financial services sector
- Effective time management to drive efficiencies
- Able to demonstrate building effective relationshis with key stakeholders
- Able to demonstrate good problem-solving skills, proposing effective solutions
- Use good judgement and self-sufficiency at all times to enable sound decision making
- Proactive monitoring of processes to develop more streamlined solutions
- Ability to communicate at all levels with professionalism and integrity
- Use investigative skills to easily identify areas of regulatory risk
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