Compliance Manager

6 days ago

Derby, United Kingdom Truestar Talent Ltd Full time

Our client's mission is to proactively look after their clients throughout their lifetime ensuring all their financial needs are taken care of and in line with their future goals and ambitions. The wealth deparment is a new extension to an already very successfullegal firm.

As you'll already know, Compliance managers are tasked with creating strategies and policies to make sure businesses are compliant with FCA regulations and that everything they do is within the law.

You will act as a direct line to regulatory authorities. On a daily basis, you assess the compliance of internal processes against current regulations, maintain reporting and help to advise and train staff.

Because regulations and legislation change all the time, you will be replied upon to keep on top of best practice and to ensure that the business’ internal policies account for any changes.

**What the role entails**
- Manage and supervise control systems
- Create a strategy and framework for the business
- Evaluate the efficiency of controls
- Identify risks or non-conformity issues
- Revise procedures, reports etc. periodically
- Identify compliance issues and necessary training
- Create reports for senior management and external stakeholders
- Ensuring the business is up to date on legislation, regulation and best practice
- Conducting annual compliance checks
- Creating and maintaining records
- Inspiring and leading a culture of compliance

**Values that matter**:

- Detail oriented
- Good judgement
- Excellent interpersonal skills
- Good organisational skills
- Time management
- Strong sense of ethics

**Requirements**:

- Previous working experience as compliance manager within Financial Services for at least 5 years.
- Knowledge and understanding of the industry’s regulations and best practices
- Level 4 Diploma Financial Planning
- CF10 abd SMF 16

**This is a unique opportunity to be a part of a growing organization where your opinions and ideas will be valued and be at the core of the company’s growth.

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