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Compliance Manager, financial services, proactive role, St Albans, c£50,000
A well established and successful independent financial services businesslooking for a Compliance Manager to provide a broad compliance and risk service and ensure FCA regulatory requirements are met.
As the Compliance Manager you will be reporting to the Head of Risk and Compliance, ensuring the company adheres to the Governance Schedule including FCA’s Consumer Duty, Conduct Rules and Principles. Other responsibilities will include:
Ensure all day-to-day business as usual compliance breaches and complaints handling support is provided
Act as a second line defence to identify and monitor risks and provide a feedback loop to Head of Risk & Compliance
To support the Head of Risk & Compliance in meeting the Compliance Monitoring Plan in order to analyse the company’s compliance with regulatory requirements including FCA obligations, Data Protection, Fraud Prevention and measures, Consumer Duty Basic Principals and anti-money laundering
Analyse the root causes of regulatory and procedural breaches and ensure that practical remedial actions have been taken to mitigate against future occurrence
To support the Head of Risk & Compliance in the review and maintenance of the Compliance Manuals
Essential knowledge and experience required at time of recruitment include:
- Minimum of 3 years’ experience in Financial Services, preferably in the Investment and Life Protection sectors, with at least 1 year in the Compliance sector
- Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally
- Sound and proportionate judgement and a commercial outlook
- Advanced Excel skills and highly numerate.
- Compliance monitoring, risk management and/or internal audit skills.
- Good inter-personal and communication skills and be a strong team player
- Awareness of the FCA handbook and data protection
