Head of Compliance
1 month ago
**Location**: Exchange Quay, Manchester. Hybrid eligible within business needs.
**Contract Type**: Permanent
**Hours**: Full Time, 37.5 per week
**Salary**: Competitive based on Experience
**Main purpose: **
The role will involve working within our well-established Legal & Compliance Departments to ensure that all UK group entities continue to meet requirements published by the relevant regulatory bodies and compliance framework. This involves ensuring adherence to all internal and external rules and regulations in the UK and providing compliance support to our European entities as necessary.
The primary focus of this role is to minimise risk and drive quality across the business. Working closely with the Legal and Compliance teams and management throughout the European businesses, the Head of Compliance will be responsible for a range of duties including:
- Managing and supervising the Compliance team, ensuring that all work is completed by the team in a timely manner and within SLAs.
- Acting as the Money Laundering Reporting Officer (or Deputy) and complying with all statutory requirements applicable to this role.
- Monitor changes in FCA/OFGEM/OFCOM/LSB/CSA guidance on financial / marketing promotions, working closely with Compliance, Legal and Regulatory to ensure the business remains compliant.
- Depending upon seniority and experience, may be regulated under Approved Person/SMCR regime.
- Ensuring complaints and compliance procedures remain up to date and in line with the latest rules and guidance while looking for efficiency and process improvement.
- Coordinating and managing 2nd Line of Defence Compliance Monitoring programme and to report the results to the Risk Committee and to the Board where appropriate.
- Acting as/Assisting the Data Protection Officer under General Data Protection Regulations (GDPR) with monitoring compliance with GDPR and other data protection laws, our data protection policies, awareness-raising, training, and audits.
- Assisting with ensuring the Risk Management framework remains up to date, including the incident management framework and sign off of remedial actions.
- Overseeing the preparation & filing of FCA regulatory and Compliance related internal reports.
- Monitoring changes in UK and European guidance regarding financial / marketing promotions, working closely with Global Compliance, Legal and Regulatory to ensure the business remains compliant.
- Maintaining an effective working knowledge of the latest regulatory standards and guidance.
- Participating in project work and assisting in developing policies and procedures focused on quality of service and improvements to the customer experience.
**Head of Compliance Requirements: **
Essential
- Good people management, organisation, and communication skills with proven experience in managing a Compliance Team.
- A minimum of 3 years' experience gained in a similar role within regulated financial services.
- An in-depth understanding of the FCA's CONC sourcebook and a good understanding of the wider FCA handbook and regulatory framework that underpins the consumer credit industry.
- A sound understanding of the Data Protection and Anti-Money Laundering legislation.
- A track record of working in a regulated environment providing practical support and advice on risk and compliance related matters.
- Flexibility in approach and able to work well under pressure and manage competing deadlines whilst remaining professional, adaptable, approachable and compassionate towards our colleagues, customers and clients.
- Strong interpersonal skills and an ability to be assertive and negotiate and influence management at a senior level.
Desirable
- A qualified lawyer with consumer credit or FCA experience
- Language ability in German and/or Spanish an advantage
- Experience of being a Money Laundering Reporting Officer or Deputy
- Experience of collating and submitting FCA Gabriel reports and internal reports to the board.
- Knowledge of consumer credit regulation in Europe
- Good problem-solving skills with the ability to think outside the box when considering workable solutions.
- A proactive and innovative approach to solving problems and identifying potential opportunities
**What's in it for you? **
- Bonus scheme, non-contractual
- Free secure car parking space and excellent transport links
- 31 days holidays per year including 8 bank holidays
- Healthcare Scheme*
- Company pension plan*
- Life Assurance*
- Electric Car Salary Sacrifice and Cycle to Work schemes*
- Numerous discounts and other incentives*
(*Qualifying period applies)
**About Us: **
Phillips & Cohen Associates, Ltd., the global leader in deceased account management with operations in the United States, United Kingdom, Canada, Ireland, Germany, Spain, Australia and New Zealand, seeks a Head of Compliance for its Manchester, UK office. There is the opportunity for Hybrid Working within this role.
You may have experience of the following: Compliance Manager, Stakeholder Management, Head of Compliance, FCA, Compliance, Regulatory, Regulations, Financial Services, Investments, Finance, FCA, Compliance Monitoring, Risk Management, etc.
REF-204459
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