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Lead Compliance Oversight Manager
2 months ago
Job Title: Lead Compliance Oversight Manager.
Location: Remote with occasional office presence.
Contract Type: Outside of IR35 regulations.
Contract Duration: Initial term of 6 months, with potential for extension or transition to a permanent role.
Are you an experienced compliance professional with a deep understanding of risk management and regulatory frameworks? We are offering a compelling opportunity for a Lead Compliance Oversight Manager.
Role Summary:
The selected candidate will play a pivotal role in the Second Line of Defence, ensuring that compliance mechanisms and controls are both robust and effective. Responsibilities will include the development and upkeep of Compliance Assurance Frameworks, conducting ongoing risk evaluations, and collaborating with various departments such as Sales, Underwriting, Collections, and Customer Services to identify and mitigate potential risks.
Primary Responsibilities:
- Develop and execute thorough compliance monitoring strategies.
- Regularly evaluate and test the efficacy of compliance controls and systems.
- Identify both regulatory and non-regulatory risks, taking proactive steps to address them.
- Perform root cause analyses on compliance breaches and incidents, implementing necessary corrective measures.
- Prepare monthly compliance reports for the Regulatory Compliance Lead and assist in drafting formal reports for key stakeholders.
- Foster a culture of compliance, ethics, and customer-centricity within the organization.
- Build and maintain strong relationships with business stakeholders and regulatory authorities.
- Continuously enhance compliance processes to improve efficiency and effectiveness.
Qualifications and Skills:
- In-depth knowledge of regulatory frameworks, particularly FCA sourcebooks (PRIN, CONC, DISP, SYSC) and legislative frameworks such as AML, Consumer Credit, and GDPR.
- Experience in compliance within the financial services sector, ideally in the Motor Finance industry.
- Analytical mindset with the capability to critically evaluate regulatory rules and their application.
- Exceptional organizational, time management, and communication abilities.
- Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).
- Ability to prioritize tasks and adapt to changing requirements effectively.
- Understanding of FCA expectations regarding the treatment of vulnerable customers and ensuring fair customer outcomes.
If you possess a passion for compliance and a proactive approach, we encourage you to consider this opportunity.
