Compliance Manager
4 weeks ago
The Regional Compliance Manager will be responsible for performing compliance audits and other oversight activities within the intermediary retail network as part of the Intermediary Oversight framework, providing regulatory support, carrying out intermediary visits, producing reports, controls, and on-going feedback to the Nation Oversight Manager.
This role is field-based and may require travel, overnight stays, and periods away from home.
Key Responsibilities:
- Performing compliance audits and oversight activities within the intermediary retail network.
- Providing regulatory support and carrying out intermediary visits.
- Producing reports, controls, and on-going feedback to the Nation Oversight Manager.
- Working collaboratively with retailers and brokers to ensure compliance with regulatory requirements.
- Developing and implementing effective compliance strategies and procedures.
Requirements:
- Educated to at least A level standard or equivalent.
- In-depth knowledge of retail and contract hire finance products.
- Good knowledge of regulatory regimes and requirements issued by regulatory bodies.
- Ability to translate knowledge into suggestions and recommendations for retailers and brokers.
- Good working knowledge of Microsoft Excel, PowerPoint, Word, and G-suite.
- Ability to train groups of staff, including retailers or brokers.
- Able to handle high conflict situations, work under pressure, and meet deadlines.
- Previous experience in Compliance or Internal Audit roles is a must.
- SAF Advanced qualification would be desirable.
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