Head of Compliance

1 week ago

Blackburn, United Kingdom Service Care Solutions - Sales Full time

We are currently working alongside a leading online sales company, based in **Blackburn**, who are in need a **Head of Compliance**to join their team. This is an fantastic opportunity to join a fun and expanding organisation with people and culture at their heart.

**ROLE**: Head of Compliance

**LOCATION**: Blackburn

**SALARY**: £60,000 - £70,000

The Role:

- Group compliance across all of the business and driving a compliance culture aligned to the company values (Including own book finance company with full FCA permissions)
- Embedding the core principles of consumer regulation into our general sales and operational teams
- Horizon scanning of new regulatory developments and maintaining oversight of developments impacting the firm's activities
- Identifying compliance risks and developing communication lines with appropriate controls within the regulatory framework
- Producing accurate and timely quarterly and annual reports for the senior management team with key statements
- Ensuring the "3 lines of defence" are being maintained throughout the business and all audits documented
- Managing the compliance monitoring team including performance feedback and appraisals
- Educate and train all associated members on regulatory, industry and compliance requirements
- Proactively review current or new, policies, procedures and business practices to identify needed compliance changes, or situations that may pose significant compliance risks, and guide management in these.
- Chair the compliance monthly meetings which will include matters such as quality assurance, horizon updates, potential risks, etc
- Develop and maintain the compliance monitoring framework including:

- Thematic reviews, file reviews and compliance monitoring activities under the compliance monitoring plan
- measure and test adherence to policies and procedures
- liaise with relevant staff/managers to ensure that remedial actions from compliance monitoring are closed out
- Producing and sending all regulatory FCA reporting to the regulators on time and accurately

The Person:

- Minimum 3 years of Financial Services experience with the ability to demonstrate knowledge and understanding of the motor finance market including insurance distribution
- Ability to gain the FCA approval to hold the Senior Management Function (SMF) where required
- In-depth knowledge and experience of all legislation and regulatory bodies for the industry and can display this at all times
- Have a diversity and inclusion mindset to ensure that every associate is given the same opportunities to learn and succeed
- As a senior leader, be able to communicate effectively at all levels and with a mentoring ethos for our associates
- Confident in taking own initiative and identify opportunities to enhance our customer journey even when working to tight deadlines and under pressure
- Ability to interact with a diverse stakeholder group
- ** ICA Diploma or equivalent in compliance is preferable but not essential

We also welcome referrals for this position, where a successful recommendation would be worth £250.

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