Compliance Director

6 days ago


St Albans, United Kingdom Abacus Consulting Full time

About the Role:

The Compliance Manager will be responsible for ensuring that Abacus Consulting meets all regulatory requirements, including those set by the Financial Conduct Authority (FCA), Data Protection, and anti-money laundering regulations. This will involve providing compliance and risk oversight, as well as ensuring that all regulatory returns are completed accurately and in a timely manner.

Key Responsibilities:

  • Ensure the Compliance function has appropriate regulatory engagement, procedures, and monitoring activity to support mandatory requirements.
  • Provide Compliance and AML oversight and Data Protection advice and guidance.
  • Contribute to regulatory returns being completed accurately and in a timely manner.
  • Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
  • Ensure all day-to-day business as usual compliance breaches and complaints handling support is provided in a timely manner.
  • Contribute to the Compliance Monitoring Plan to analyze the company's compliance with regulatory requirements.
  • Contribute to and maintain the company's Breach Register, ensuring Breaches are reported and completed to a high standard and within the agreed SLAs.

Requirements:

  • Minimum of 5 years' experience in Financial Services, preferably in the Investment and Life Protection sectors, with at least 3 years in the Compliance sector.
  • Appropriate qualifications in financial services.
  • Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally.
  • Display sound and proportionate judgement.
  • Display a commercial outlook.
  • Awareness of the FCA handbook and data protection.


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