Compliance Manager - Financial Firm - Surrey

10 May 2017
09 Jun 2017
Contract Type
Full Time

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!

Main Responsibilities:

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.

Key Duties:

  • 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.