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Financial Services

Mansfield

10/11/2021

Type of Position: Compliance Manager
Pay: £50k+

Compliance Manager

Our client is looking for a Compliance Advisory Manager to join their team. You will be leading the Compliance team in a way that supports compliant delivery of service excellence and operational effectiveness at all times.

 

Key Responsibilities: 

  • In conjunction with the Head of Risk identify all areas of the business where Compliance oversight is required to ensure the company meets regulatory requirements and industry best practices 
  • Responsible for the implementation of an appropriate monitoring regime to ensure compliance standards are maintained and remedial action is taken where adherence is unsatisfactory. 
  • Responsible for maintaining accurate, detailed and up to date compliance records across all areas of the business and produce regular risk-based reports of all controlled business functions to Head of Risk. 
  • Implement and manage the delivery of required compliance training and testing programmes for all staff across the business, e.g. Anti-Money Laundering, TCF, etc. including producing the appropriate training materials for these purposes. 
  • Responsible for providing information and notifications to the FCA alongside completing Regulatory returns. 
  • Ensure Financial Promotions are approved to ensure they comply with business and regulatory standards and guidelines. 
  • Responsible for dealing with our Anti-Money Laundering system and checking alerts that have been reported, escalating as needed to Head of Risk. 
  • Maintaining awareness of the Regulatory landscape and initiatives and consider whether there is likely to be any impact on the business, and develop plans with the Head of Risk to mitigate the impact on the Group


Qualifications and Skills

  • CII level 4 Diploma in Financial Services and/or relevant compliance qualifications 
  • Able to effectively monitor transactions and business processes against set standards and to implement remedial action when required. 
  • High level report writing skills meeting regulatory standards. Knowledge, Skills & Competencies 3 Compliance Advisory Manager 
  • Proven ability to work on own initiative and be proactive. 
  • Strong time management and organisational skills 
  • Excellent research skills using a variety of resources. 
  • Ability to provide balanced, quality feedback for advisers and colleagues to maintain quality and compliance standards. 
  • Ability to develop strong stakeholder relationships. 
  • Effective decision-making skills to satisfy a range of stakeholders needs. 
  • Interacts openly and honestly with others, supporting development of close relationships.
  • Able to interpret complex technical issues and make recommendations with regard to new regulatory standards.


If you are interested in this position, please email your CV to josie@artemisrecruitment.co.uk  

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