Compliance Manager

The Recruitment Pool Group Limited
12 Jan 2018
10 Feb 2018
Contract Type
Full Time
JOB DESCRIPTION The RecPool Group are recruiting for a Compliance Manager reporting into the Conduct & Risk Director. You will be responsible for Implementing business facing elements of Conduct and Risk strategy, acting as a point of contact/Compliance business partner, executing supplier compliance audits and reviews to ensure conduct standards are being maintained. You will be working with the business to ensure client audits are managed effectively. The role: * Facilitating Third Party Audits including desk top and on-site audits including preparation of material producing reports and gaining feedback * Assisting the Conduct & Risk Director in the delivery of Regulatory Change * Assist the Conduct & Risk Director in providing commercially aware and timely compliance advice and support services to the business to ensure that the highest standard of conduct risk outcomes for customers are maintained. * Build strong and effective relationships across the business to promote Risk & Compliance * Act as a referral point for the business, providing technical input and expertise, interpreting compliance regulations/requirements and relating this to business activities. * Facilitating Client Audits including preparation of material, organising facilities and accompanying visits on the day * Co-ordination of audit responses and oversight for the closure of all audit remediation and actions * Report audit findings and recommendations to mitigate risks * Assisting the Conduct & Risk Director in any other duties required. * Preparing reports and present findings to management and key stakeholders * Liaising with markets and internal management to facilitate an effective third party and client audit process * Review and provide documentation to support external audit processes * Any other reasonable duties requested The person: * Good knowledge and understanding of FCA requirements, DPA, OFCOM, FOS and LSB * An excellent communicator, both written and verbal, with proven experience of communicating with members of the Senior Management team, or the ability to demonstrate confidence in this area * Pro-active, considered and systematic approach in order to deliver accurate reviews of key business processes * An eye for detail, an analytical approach and the ability to be objective are key skills required for this role * A desire to learn, take on board feedback, work independently and as part of a team are all essential attributes to progress within this role * Displays a genuine passion for compliance and a commitment to both personal development and the development of the business * Conduct themselves with professionalism and objectivity The package: * Basic salary £30,000 * Free Car Parking * 28 days holiday * Fantastic working environment * Ongoing training and development