Compliance Manager - Financial Firm - Surrey
Fourthline are exclusively supporting a client in their hunt for a new and enthusiastic Compliance Manager. If you have compliance experience and have helped a high cost consumer lender through FCA regulation then please apply for this opportunity!
Work with the Head of Compliance to ensure the Group operates in accordance with relevant regulation, guidance. Also to aid in the groups registration for FCA authorisation.
- Responsibility for ensuring the business is compliant with FCA rules (CONC, SYSC, SUP etc.), DPA and AML Regulations.
- Acting as the firm's key point of contact with the FCA; including all authorisation matters.
- Responsible for the development of an appropriate, risk based, compliance framework.
- Overseeing the maintaining and executing of the firm’s Compliance Monitoring Programme.
- Overseeing the firm's customer complaints handling process.
- Ensuring that appropriate compliance training is delivered to employees.
- Remain up to date with all regulatory compliance issues and developments.
- Assess product, compliance, or operational risks and develop risk management strategies.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Develop appropriate guidance, policies and procedures regarding the regulations for the business and ensure that those policies are applied day to day.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
To be successful you MUST have:
- Previous experience working in Consumer Credit or FCA regulated environment.
- Analysing and interpreting key information as part of compliance and risk based approach.
- Able to design and implement risk-based monitoring.
- Understanding of how to track conduct risk.
- An ability to communicate clearly, effectively and at all levels of the firm.
- An ability to be self-motivated and proactive.
If you believe that you are the right candidate for this role please apply, all successful candidates will be contacted promptly.