Head of Compliance

2 weeks ago

Blackburn, United Kingdom The Recruitment Co Full time

**Are you a Senior Compliance Professional with experience in the Car Finance, or similar type of FCA regulated industry?**

**Are you based in or around the Blackburn area and looking for a new full time opportunity?**

**Do you have FCA Approval (Senior Management Function?**

**Would you be happy to join a leading Motor Group with an exceptional reputation in the market with a robust compliance process already in place?**

If the answers are yes, our client are a leading motor group who sell on average 800 vehicles to their customers every month, supplying a wide vehicle range from small city cars right through to high end luxury cars. They specialise in offering tailor-madefinance options to suit customer needs.

**What you need....**

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 identifying 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

**What you get on return.....**

Competitive Starting salary - negotiable

30 days annual leave
Rapid company expansion providing excellent development and career opportunities
Great Staff rates on Car Finance
Friendly and supportive Work Colleagues and Management
Regular staff socials
Birthday off after 2 years and £100 Meal voucher
Company Pension scheme
Complimentary office treats

**The role...**
- Group compliance across all of the business and driving a compliance culture alignedto company values (Including own book finance company with full FCA permisisons)
- 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 Recruitment Co. is an equal opportunities employer and we're committed to diversity and inclusion in the workplace.

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