Compliance Manager sought for a Prestigious Northamptonshire Financial Services Business. This is an excellent opportunity to join a thriving and well known operation where culture and ethos make it a fantastic place to work, not least because this role has plenty of progression opportunities for the right person.
The role of Compliance Manager is in place to oversee and manage compliance within the business, acting as an independent review and evaluation body ensuring that compliance risk issues/concerns are being appropriately investigated and resolved.
You will provide advice, working with the Management Team to comply with regulatory requirements and reviewing on an ongoing basis all legislative and regulatory developments, ensuring senior management are updated and briefed.
It is within your remit to educate staff with respect of compliance with the applicable laws, rules and standards, acting as a contact point with the Bank for Compliance queries from staff members.
You will identify areas of potential compliance vulnerability and develop and implement pragmatic corrective action plans. Maintain the breaches register, financial promotions register, gifts and entertainment register and competence records. Act as conduct (TCF) co-ordinator, take an active role in promoting conduct across the company and oversee the conduct is embedded in the culture of the company.Review and approve financial promotions prior to issue.
You should have FCA compliance knowledge particularly in the area of retail banking and an understanding of all relevant regulations relating to retail banking. Ideally you should possess a degree in Law, Finance or a similar field as well as having experience gained within a compliance consultancy, bank, building society or the FCA.
This role offers the opportunity to progress your career gaining experience in a prestigious company and being well rewarded.
For further information please call Hollie at HCK Consultants.