Compliance Manager

Compliance Manager

Ref: 1329Monday 19 July 2021

£dependent on experience

Do you want a new job in a supportive and employee focussed organisation? One that is financially secure on the back of a record breaking 2020 with a clear plan on what the future is going to look like for their staff? Working for a Mutual is quite different to the ‘normal’ world of Financial Services with the customer truly at the heart of everything they do, they treat their staff with the same importance. Our client is looking for a Compliance Manager to lead their compliance team and support the Governance Executive in ensuring statutory, regulatory and relevant Code compliance for designated functions. 

If all the above makes you think this could the role and employer for you, our client is looking for candidates with the following experience:

  • Previous experience in a similar role, for example, 2nd line oversight or internal audit
  • Previous experience of working within a Financial Services environment
  • Previous experience of leading, developing and managing a team
  • Ability to interpret and implement regulation / legislation
  • Knowledge of FCA regulatory rules and guidance including BCOBS, MCOB, Complaints, Financial Promotions, Financial Crime and Data Protection Regulations

 

The job itself is working as part of a tight knit team, with 3 direct reports, core responsibilities of the Compliance Manager include:

  • To assist the Governance Executive, in the development of plans, policies, procedures and systems to ensure the department achieves its objectives in relation to conduct risk and treating customers fairly, compliance with MCOB, ICOBS, BCOBS, AML/fraud prevention, data security, data protection, health and safety, and any other regulation/guidance as required.
  • To manage, supervise and coach the Compliance Department colleagues on a day to day basis.
  • To interpret regulation / legislation in order to provide advice, support and guidance (as appropriate) to the business in the implementation of regulatory / legal requirements to ensure full compliance, including in respect of Projects where required.
  • To carry out / assist with, evidence and report on 2nd line Compliance monitoring activity, monitoring reviews and branch inspections, to ensure compliance with regulatory, statutory and procedural requirements in accordance with the agreed Compliance Monitoring Programme and to provide feedback to relevant Managers.
  • To review/have oversight of the Compliance Monitoring Programme work undertaken by the Compliance Officer / Compliance Support Officers and provide appropriate feedback.

 

Whilst most roles are working from home currently and will continue to do so until safe, there will be a permanent hybrid model going forward with a mix of office and home working for those who would like it.  As well as a competitive salary and benefits package (incl. up to 10% bonus), there is future promotion opportunities to ‘Head of Compliance’ in the next 2 years.

 

If you are a Compliance leader within the financial services sector who wants to work for an employer who cares about their customers and the local community as well as its employees, then apply now.