Compliance Manager

7 days ago

Chelmsford, United Kingdom Lilium Direct Ltd Full time

We have an exciting opportunity for a Regional Compliance Manager to join our team.

**Job title**: Regional Compliance Manager

**Location**:Home based / Work from home, with travel

**Salary Banding**: £30,000 - £40,000 + Benefits (Listed below)

**Department / Section**:Field Based Compliance Team

**Reporting to**:Head of Supervision

**Main purposes of job**:

- To maintain a primary point of contact for Appointed Representatives in an allocated region and to manage a risk-based monitoring program to ensure compliance to network standards and regulatory requirements
- Ensuring our Appointed Representatives are, as per FCA guidelines, always Treating Customers Fairly and delivering good customer outcomes
- To provide compliant guidance and support to staff and Appointed Representatives
- To instruct and coach members in order to improve risk assessment ratings

**Key results/objectives**
- To ensure compliance with systems, procedures and regulatory requirements across the network
- Proactively monitor network firms and advisers to identify key risks
- Agree actions and prepare reports for Firm Principals and advisers
- Submit management information regarding activity and high-risk situations to the Head of Supervision (HOS)

**Key tasks**
- Conduct field visits which will include risk-based compliance monitoring to ensure that network members comply with the requirements of the FCA and network rules in respect of regulated mortgage and non-investment insurance business
- Act as supervisor within the Training & Competence scheme and act as an ambassador for the use of relevant IT programs and systems
- Build strong relationships with key stakeholders, championing good customer outcomes.
- Provide advice and guidance to network members in response to enquiries received
- Identify the business risks ensuring all current and future regulatory requirements are adhered to with effective controls in place
- Ensure appropriate standards and procedures are followed by authorised appointed representatives
- Instruct, coach and monitor individuals, producing reports and individual training/development plans ensuring all outstanding actions are completed within agreed timescales and are achievable
- To assist and guide the Internal Compliance Review Officers regarding technical queries and challenges arising in the file review process
- Produce periodic reports to the HOS as instructed
- Ensure that notifiable events are reported to the HOS in a timely manner
- Attend regulatory and other training events as agreed with the HOS
- Conduct such other project work as may be specified by the HOS from time to time

**Qualifications**
- CeMAP or equivalent professional financial services qualification as a minimum
- CeRER desirable
- A full UK driving licence is essential

**Skills/competencies**
- Able to demonstrate a suitable level of industry knowledge and experience to conduct the role
- Demonstrable supervisory skills
- Excellent verbal and written communication skills
- The ability to analyse information with a view to making informed decisions
- Ability to facilitate and deliver appropriate training, liaising with the training manager where necessary
- Passionate in building excellent working relationships with both colleagues and our members to deliver the right outcomes for all parties
- Good team player, but with a definite ability to work under own initiative

**Experience Required**
- Minimum 2 years of experience in a similar role within the financial services sector
- A sound background in compliance monitoring, risk management and reporting processes
- Knowledge of systems of control and able to follow clearly defined procedures
- Experience of working under pressure, prioritising and working to tight deadlines

**Personal qualities**
- Highly self-motivated and with strong personal discipline to meet key objectives
- Confident and assured manner when discussing regulatory matters, whilst maintaining an informative and consultative style
- A real desire to provide support and to assist firms to stay safe in the business environment
- Willing and able to travel in the UK

**Benefits**:

- Company Sick Pay, additional holiday available

**Next Steps**:
We look forward to hearing from you.

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