Director of Compliance

2 weeks ago

Manchester, United Kingdom Service Care Solutions - Sales Full time

We are currently working alongside a leading online sales company, based in **Manchester**, we are looking to recruit a **Director of Compliance** to join their team. This is an fantastic opportunity to join an expanding organisation with people and culture at their heart. **ROLE**: Head of Compliance **LOCATION**: Manchester or Blackburn **SALARY**: £70,000 - £90,000 The Role: - To lead group compliance across all of the business and driving a compliance culture aligned to the company values (Including own book finance company with full FCA permissions) - Embedding the core principles of consumer regulation into our general sales and operational teams - Horizon scanning of new regulatory developments and maintaining oversight of developments impacting the firm's activities - Identifying compliance risks and developing communication lines with appropriate controls within the regulatory framework - Producing accurate and timely quarterly and annual reports for the senior management team with key statements - Ensuring the "3 lines of defence" are being maintained throughout the business and all audits documented - Managing the compliance monitoring team including performance feedback and appraisals - Educate and train all associated members on regulatory, industry and compliance requirements - Proactively review current or new, policies, procedures and business practices to identify needed compliance changes, or situations that may pose significant compliance risks, and guide management in these. - Chair the compliance monthly meetings which will include matters such as quality assurance, horizon updates, potential risks, etc - Develop and maintain the compliance monitoring framework including: - Thematic reviews, file reviews and compliance monitoring activities under the compliance monitoring plan - measure and test adherence to policies and procedures - liaise with relevant staff/managers to ensure that remedial actions from compliance monitoring are closed out - Producing and sending all regulatory FCA reporting to the regulators on time and accurately The Person: - Minimum 3 years of Financial Services experience with the ability to demonstrate knowledge and understanding of the motor finance market including insurance distribution - Ability to gain the FCA approval to hold the Senior Management Function (SMF) where required - In-depth knowledge and experience of all legislation and regulatory bodies for the industry and can display this at all times - Have a diversity and inclusion mindset to ensure that every associate is given the same opportunities to learn and succeed - As a senior leader, be able to communicate effectively at all levels and with a mentoring ethos for our associates - Confident in taking own initiative and identify opportunities to enhance our customer journey even when working to tight deadlines and under pressure - Ability to interact with a diverse stakeholder group - ** ICA Diploma or equivalent in compliance is preferable but not essential We also welcome referrals for this position, where a successful recommendation would be worth £250.

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