Regional Compliance Officer

4 weeks ago


Slough, Slough, United Kingdom Bucks & Berks Recruitment PLC Full time
Regional Compliance Manager Job Description

This is an exciting opportunity to join a well-established corporate finance organisation based in Slough. As Regional Compliance Manager, you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework.

Key Responsibilities:
  • Verify that regulatory requirements for onboarding new customers are met as per the information received in the onboarding pack and completion of the onboarding compliance checklist.
  • Carry out on-site compliance audits on a risk-based approach in accordance with the plan as defined by the National Oversight Manager.
  • Draft compliance audit reports for each Intermediary, including the checks performed, outcomes, analysis, and action plan (where required).
  • Discuss the final reports with the National Oversight Manager before sharing with the Group Compliance Manager and other parties.
  • Perform follow-up activities on the execution of the action plan.
  • Perform ad hoc audits where required by the Compliance Manager and the Senior Management Team.
  • Monitor completion of regulatory training as part of the oversight activities.
  • Support the National Oversight Manager in the review of the mystery shopping.
  • Analyse data, carry out thematic views, and report on findings to support the oversight visit plan.
  • Provide support in the ongoing enhancement of the Compliance Dashboard and periodically review the results and definition of action plan where required.
  • Liaise with the sales teams when conducting compliance audits.
  • Suggest updates to the Intermediary Oversight Policy and Onboarding Procedure, following up on outcomes of field visits and compliance audits.
  • Keep appropriate records of all documents and materials collected on the field in the compliance repository.
Requirements:
  • Educated to at least A level standard or equivalent.
  • In-depth knowledge of retail and contract hire finance products ideal.
  • Good knowledge of regulatory regimes and the requirements and guidance issued by the regulatory bodies, including the Financial Conduct Authority and Information Commissioner's Office.
  • Ability to translate said knowledge into suggestions and recommendations to adopt and comply with such changes.
  • Good working knowledge of Microsoft Excel, PowerPoint, Word, and G-suite.
  • The ability to train groups of staff.
  • Able to handle high conflict situations, work under pressure, and meet deadlines.
  • To evidence a practical and collaborative approach.
  • Previous experience in Compliance or Internal Audit roles is a must.
  • SAF Advanced qualification would be desirable.


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