Compliance Manager

Huntswood CTC Ltd
11 Jan 2018
10 Feb 2018
Contract Type
Full Time

Compliance Manager - Financial Services

Location - Liverpool

Salary - Up to £40k

Experienced financial services compliance professional is required for a well-established, innovative FinTech company as they continue to experience a period of growth. You will be required to continue the development of a robust compliance framework, including systems and controls, compliance monitoring and conduct risk.

The ideal person will have demonstrable experience working in a compliance within the financial services industry who is looking to step up into or continue in a Compliance Manager role.

The role:

  • To ensure compliance of the Company's activities, resources and staff, with the requirements of industry and government lead regulation, within a framework of business efficiency.
  • To set up, monitor and maintain adequate and appropriate systems and controls to ensure that the firm meets its regulatory requirements.
  • To manage the regulatory requirements of the company stemming from the FCA rules relating to general insurance activities.
  • To work with the Group Compliance Officer and Senior Management in setting up appropriate systems and controls to ensure that the firm meets its regulatory obligations, these will include:
  • To regularly monitor and update the systems and controls to ensure that they are performing the function that they should.
  • To maintain such ad hoc records as thought may be appropriate to satisfy evidential requirements of compliance, which may be requested by Regulatory requirements.
  • To undertake such action as is necessary to ensure compliance with any further direction issued by the Financial Conduct Authority.
  • Manage the company Compliance Plan and other additional Project Management and supplier support to deliver compliance to FCA regulations
  • To work in conjunction with others to monitor and record compliance of the Company's activities, including overseeing of required reporting to the FCA and other regulators
  • To network with other professional bodies, stakeholders and Regulatory Authorities to ensure that we are aware of ongoing developments.
  • To represent the company to product providers, auditors, agents and the FCA and any other bodies in connection with the FCA regulations.
  • To provide support and input to the training of staff, preparing for professional qualifications and the monitoring of staff as they adhere to a policy of Continuous Professional Development as required by Regulation.

Experience and Qualifications:

  • Good understanding of financial services products.
  • Ability to understand impact on the business of any FCA changes.
  • Current working knowledge of statutory and legislative requirements and their effects.
  • Understanding of project management methodology.
  • Awareness of technology in general and its possibilities
  • Experience of financial services regulation

This is a growing business who encourage constant career development and progression so if you are looking for the next step in your career then please pass on an up to date CV for immediate consideration.

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