Compliance Audit Director
3 weeks ago
The Regional Compliance Manager will be responsible for leading risk management activities and providing consultancy and training relating to insurance distribution and consumer credit regulated activities across a network of motor dealerships.
This role requires a highly experienced and skilled individual with expertise in FCA regulation and processes pertaining to insurance distribution and consumer credit. The ideal candidate will have strong leadership skills, as well as the ability to communicate complex information effectively.
We are offering a salary of £50,000 - £60,000 per annum, depending on experience, for this fixed-term contract of 12 months. This is a field-based position with regular travel to UK locations.
Key Responsibilities:
- Conduct regular deal file audits to identify operational conformance to regulatory procedure.
- Assess and validate dealer sales process activities and documentation in line with FCA regulation.
- Conduct observation/competence assessments with sales personnel within dealerships.
- Provide coaching and training to individuals and small groups on systems and regulatory process.
- Maintain regular contact with the National Operations Manager.
- Communicate findings and recommendations effectively, both verbally and by written report.
- Escalate identified risk in line with department process.
- Demonstrate efficiency in diary management and the arrangement and timely completion of compliance audits and reviews.
- Provide an interface between Compliance, other departments, and Dealer/Agents.
- Attend meetings as and when required.
- Build and maintain relationships with industry partners to maximise on compliant performance for both parties.
- Communicate at senior level with confidence and professionalism.
- Keep all file records up to date to enable business continuity.
- Provide assistance and support to the Compliance team.
- To behave in a professional and courteous manner at all times.
- To provide accurate time reports as and when required.
- Maintain an accurate and up-to-date knowledge of regulatory issues affecting the Motor Industry.
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