Field Based Compliance Manager
FourthLine are exclusively representing our retail financial services client recruit for a Compliance Manager. If you are looking for a generalist Compliance Manager role with a mixture of field based and office based responsibilities within an evolving company, this could be for you.
Reporting to the CEO of the company, this role sits within a team of 3 and will be responsible for the compliance oversight. This is a unique role within a small firm that requires somebody who is used to interacting with senior stakeholders on a regular basis.
Day to day responsibilities will include:
• Plan and execute compliance oversight activity and relationship management visits with firms and their agents. This will include, pre-visit communication, desk based & on-site assessments, reporting, exit interviews and follow-up action plans.
• Produce reports that bring issues and emerging risks to the attention of the firms.
• Assess firms’ policies, procedures and remedial action plans for adherence and make recommendations for remedial action.
• Investigations into breaches, identifying issues and providing reports and recommendations .
• Provide technical input into the development of the standards and voluntary agreements.
• Act as the first point of contact and main liaison for firms.
• Provide advice and guidance to firms in relation to the interpretation and application of the regulatory standards.
• Engage with firms and other stakeholders by representing the firm at seminars, and consumer events.
• Provide input to development of the standards and the supporting information for practitioners.
Suitable candidates for this position must have the following skills and experience:
• A risk management, risk analytics, compliance or audit background in the UK retail financial services industry with a good understanding of the consumer credit space.
• Self starter with the ability to work alone for extended periods.
• First class communication and presentation skills (oral and written).
• Strong interpersonal skills with experience of dealing with senior personnel and gaining acceptance of report findings.
• Ability to undertake detailed analysis across a range of monitoring activities.