Senior Compliance Consultant

3 weeks ago

Bath, United Kingdom EKIM Consulting Full time

Reporting to: Director of Risk & Compliance

Start**:As soon as available**

Remuneration**:The role can be offered either inside or outside IR35 with a day rate of c.£600 - £750pd.**

**Anticipated Duties**:

- Submit and manage the authorisation process (respond to any FCA enquires) with the FCA
- Lead on the development of the compliance frameworks required to ensure the business is ready to operate once authorisation granted and engage other resources as required.
- Update FCA directory as appropriate.
- SM&CR process improvement, management and internal reporting (including Responsibilities map and certificate records).
- Finalise and implement competence assessments for identified certified staff
- Design and implement compliance operational processes for:

- SMCR internal reports, including Responsibilities map and certificate records.
- Register and Directory updates
- F&P and competence operational oversight (integration with HR records)
- SM&CR MI and reporting
- FCA reporting
- Complete SMCR operations hand over
- Lead on SM&CR training and awareness
- Non-Standard investment (NSI) compliance and legal support
- FOS decision support
- Supporting or challenging the 1st line complaints management team to ensure a fair outcome for customers is achieved
- Assistance to the Director of Risk & Compliance to support the expertise or capacity of the existing team as needed.

**Relevant experience**:
Firm authorisation and individual approval (SMF or certified) management including competent user of connect system.

Distressed investment corporate management

Customer outcome focus with awareness of business impact.

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