Compliance Assurance Manager

11 Feb 2018
16 Mar 2018
Contract Type
Full Time

Our client is a leading and specialist lending firm who are currently recruiting for a Compliance Assurance Manager. The role is a field based role and is responsible for making sure all branch activity comply with policies, procedures and legislation ensuring a compliant framework. The role holder can be located in their local branch.

The Client-

This Client does not provide sponsorship.

Key Responsibilities:

  • Establish and maintain a branch network assurance review programme that ensures the business is operating within current internal policies, guidelines and current legislation
  • Establish and maintain a branch network assurance programme that considers all relevant regulatory requirements and legislation.
  • Plan and execute branch assurance reviews, identifying and challenging any areas of underperformance or failure to comply with current policies and legislation.
  • Enable the business to meet its statutory responsibilities and support a culture of compliance with all laws and regulations being embedded throughout the business.
  • Personal compliance with company policies and procedures.
  • Develop and implement a compliant framework for the achievement of company goals.
  • Monitor and review performance results achieved in-line with the plan ensuring any plans of action are agreed, evidenced and are within a given timeframe
  • Build and establish effective two-way business relationships.
  • Establish an open and honest relationship with all internal and external customers.
  • Embrace company initiatives and changing working practices

Key Requirements:

  • Experience working within compliance assurance, preferably from a financial services background.
  • Familiarity with FCA regulation
  • Strong commercial and financial awareness
  • Report writing expertise

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