Compliance Manager

1 month ago

St Albans, United Kingdom Outsourced Professional Administration Limited Full time
Job Mission:
  • Provide Regulatory Compliance Service: Ensure all relevant activities adhere to appropriate regulatory requirements, providing a Compliance and Risk service to the firm and employees.
  • Contribute to Compliance Team: Work with the Head of Compliance and Risk to ensure procedures and services delivered adhere to relevant regulations, contributing to the Compliance culture of the broader management group.
  • Ensure Regulatory Requirements: Meet all relevant regulatory requirements during operational practice, including the FCA's Consumer Duty, Conduct Rules, and Principles.
  • Monitor and Brief: Monitor and brief Operational Teams on developing or crystallised regulatory risks, themes, and pronouncements as appropriate.
  • Enhance Service Delivery: Engage with clients to enhance OPAL's service in the delivery of critical or important functions.
  • Participate in Compliance Culture: Participate in and contribute to the compliance culture of the broader management group of the businesses.
Principal Job Objectives:
  • Ensure Regulatory Engagement: Ensure the Compliance function has appropriate regulatory engagement, procedures, and monitoring activity to support mandatory requirements.
  • Provide Compliance and AML Oversight: Provide Compliance and AML oversight and Data Protection advice and guidance.
  • Contribute to Regulatory Returns: Contribute to regulatory returns being completed accurately and in a timely manner.
  • Review and Communicate Regulatory Developments: Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
  • Ensure Compliance Breaches and Complaints Handling: Ensure all day-to-day business as usual compliance breaches and complaints handling support is provided in a timely manner.
  • Act as Second-Line Defence: Act as a second-line defence to identify and monitor risks and provide a feedback loop to the Head of Compliance & Risk and the Operational Practice of the business.
  • Provide Compliance Training and Coaching: Provide ad-hoc compliance training and coaching.
  • Contribute to Compliance Monitoring Plan: Contribute to the Compliance Monitoring Plan to analyse the company's compliance with regulatory requirements, including FCA obligations, Data Protection, Fraud Prevention, and measures.
  • Contribute to and Maintain OPAL's Breach Register: Contribute to and maintain OPAL's Breach Register, ensuring breaches are reported and completed to a high standard and within agreed SLAs.
  • Contribute to Complaint Management Service: Contribute to and input to OPAL's complaint management service, including maintaining the OPAL clients Complaint Register.
  • Analyse Causes of Regulatory and Procedural Breaches: Analyse the causes of regulatory and procedural breaches and ensure that practical remedial actions have been taken to mitigate against future occurrences.
  • Contribute to Operation of PEP and Sanctions Screening Tool: Contribute to the operation of OPAL's PEP and Sanctions screening tool to satisfy regulatory requirements of OPAL's clients.
  • Review and Maintain Compliance Manuals: Review and maintain the Compliance Manuals of both firms (OPAL and SFPL).
  • Escalate ISO Security Risk: Escalate any ISO security risk within OPAL.
  • Implement Controls and Document Procedures: Implement controls, document procedures, and complete risk assessment reviews as required.
  • Ensure Compliance Security Breaches: Ensure that any Compliance security breaches are completed within 24 hours as per procedures.
Essential Knowledge, Skills, and Experience Required at Recruitment:
  • Minimum of 5 Years' Experience: 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: Appropriate qualifications in financial services.
  • Good Interpersonal and Communication Skills: Good interpersonal and communication skills and the ability to identify and build important strategic relationships internally and externally.
  • Sound and Proportionate Judgement: Display sound and proportionate judgement.
  • Commercial Outlook: Display a commercial outlook.
  • Awareness of FCA Handbook and Data Protection: Awareness of the FCA handbook and data protection.
Additional Knowledge Required to Become Fully Competent:
  • Good Understanding of Administration and Systems: Good understanding of administration and systems within the companies.
  • Familiarisation with Life, Protection, Investment Products: Familiarisation with the Life, Protection, Investment products.
  • Understanding of Client Relationships and Contractual Obligations: Understanding of our Client Relationships and Contractual obligations.
  • Proficient in Use of Microsoft Office: Proficient in the use of Word, Excel, PowerPoint.

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