Compliance Manager

Recruiter
JDI Legal
Location
Newcastle Upon Tyne, UK
Salary
Competitive
Posted
17 Aug 2019
Closes
25 Aug 2019
Ref
1205808876
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
JDI Legal are currently instructed on behalf of a law firm who operate across 13 branch offices and looking to recruit a full time and permanent Compliance Manager to their Newcastle office.

This is a brand new expansionary role and will report into the Equity Partner at Newcastle who has responsibility for volume business.

ROLE OF DEPARTMENT
  • 2nd line of defence.
  • Oversight of 1st Line Operations' Teams.
  • Maintenance of tools used to evidence adherence to Policies and Procedures.
  • Co-ordination of completed monthly review frameworks.
  • Co-ordination of clients' monthly compliance requirements.
JOB PURPOSE
To oversee the Group's monthly monitoring of activity via a Conduct Risk Framework Dashboard, which is the tool used by first line to evidence adherence to the Group's policies and procedures.

The key elements of this are as follows:
  • Case reviews. A full end to end customer journey and outcome review for a sample of cases each month for each of the legal services departments.
  • Call listening, both as part of customer journey reviews and standalone. Ensures that calls are reviewed for every case handler on a regular basis.
  • Correspondence reviews. A review of the use of standard and non standard letters
  • Complaint handling. Regular sampling of complaint cases, looking at the end to end customer experience and outcome by performing regular root cause analysis.
  • Staff training to ensure knowledge and understanding of policies and procedures.
  • Management of risks / incidents.

KEY RESPONSIBILITIES

Provide evidence of adherence to the Legal Service's policies and procedures.
  • Oversee the monthly internal audit functions of all operational activities.
  • Maintain the department's activity logs including the risk register.
  • Ensure that each employee is aware of the importance of compliance and respects and contributes to its implementation
  • Ensure all staff completes annual mandatory regulatory training.
  • Oversight of Complaint handling.
  • Prepare Compliance Reports to present to management / clients.
  • Provide clients with monthly compliance requirements.
  • Design and implement training, policies and procedures to ensure that all the departments are compliant with client and regulatory requirements.
  • Ensure that Staff training logs are completed, both in terms of induction training for new staff as well as ongoing refresher training and development of all staff.
  • Tracks Regulatory requirements that may or might affect the organisations policy.
  • Manage departments risks and incidents log
  • Oversight of change management procedure.
  • Perform root cause analysis to determine issues at their source and to implement controls to prevent these reoccurring.
  • To perform horizon scanning to ensure our controls remain fit for purpose when there are changes to regulations.

Candidates will ideally have a recognised Business or Management qualification, have a flexible approach to work, an open and inquisitive mind, possess sensitivity to different cultures and the ever changing regulatory environment and equipped with skills and human qualities which allow to advise, train and raise awareness amongst company staff on the significance of business ethics and compliance
A background and knowledge of Financial Services regulatory requirements is essential.

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