Compliance Manager

2 months ago

Nottingham, United Kingdom Kind Consultancy Ltd Full time

Kind Consultancy is working with a well-established, innovative Bank which is currently seeking a 1st Line Compliance Manager to join them in a permanent, full-time role paying circa £50,000. The position is based in their Nottingham offices and has a flexibleworking model.
Key responsibilities of the 1st Line Compliance Manager will include:

- Working closely with the second line function to deliver on the regulatory requirements of the bank, ensuring that all mandatory legal and regulatory changes are effectively implemented
- Working closely with the Data Protection Officer and second-line functions to ensure that processing of data is compliant with GDPR/DPA 2018
- Leading and chairing the Bank's Compliance forum in line with governance, developing quality documentation to assess their compliance against key regulations;
- Being a key stakeholder in the implementation and embedding of Consumer Duty regulations;
- Providing advice and guidance relating to compliance matters to the business, including key contact for the complaints and claims team ;
- Co-ordinating the maintenance of the Conduct Risk Dashboard, ensuring that the business has appropriate KRI measures in place to assess exposure to conduct risk and compliance to regulations;
- Ensuring the proper and timely reporting of identified incidents related to compliance and monitoring of progress;
- Assisting the business in evaluating or investigating and in causal analysis of specific compliance issues, breaches or Business Incidents as required
- Has proven expertise of applicable FCA rule books, including but not limited to CONC, SYSC, PRIN, DISP and also working knowledge of the Consumer Credit Act laws
- Has past experience as a Subject Matter Expert (SME) for regulatory compliance at a senior level within a retail lending/consumer finance environment
- Has demonstrable data protection and compliance advisory experience
- Is IT literate with knowledge of Microsoft Office packages, particularly Excel and Word
- Understands how to control risk and appropriate monitoring systems
- Has recent experience of work within the Compliance function of a regulated UK Financial Services business
- Has previously developed and implemented Risk and Compliance frameworks

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