Field Based Compliance Manager

Recruiter
FourthLine
Location
London
Salary
40000.0000
Posted
12 May 2017
Closes
11 Jun 2017
Contract Type
Permanent
Hours
Full Time

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:

Essential:

• 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.