Compliance Manager

Recruiter
Alexander Ash Consulting
Location
Farnborough, UK
Salary
Competitive
Posted
15 Sep 2019
Closes
02 Oct 2019
Ref
1200733615
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Compliance Manager

About the Role

Your impact as a Compliance Manager:
  • Work with Risk & Compliance Business Partners to promote and embed an appropriate risk and compliance culture across the organization in the UK.
  • Provide accurate, timely and consistent advice and guidance to staff in the development and monitoring of operational documents, procedures and computer systems to ensure effective compliance with FCA and other regulatory requirements.
  • Where necessary, carry out the analysis of upcoming regulatory changes and the impact on UK's policies, procedures & materials liaising with all relevant key stakeholders.
  • Liaise with and support the Head of Regulatory Development as necessary to ensure a seamless approach to oversight of the regulatory landscape.
  • Carry out the timely preparation and accurate submission of FCA reporting (e.g. RMAR, complaints, controllers and close links, appointed representatives)
  • Carry out compliance sign-offs and maintenance of registers (e.g. complaints, conflicts of interest and financial promotions).
  • Liaise with the regulators as necessary e.g. the FCA and Financial Ombudsman Service (complaints).
  • Prepare and deliver required compliance reports for the Central Compliance Director and relevant boards and committees as required.
  • Manage all aspects of day-to-day compliance activities in accordance with applicable laws and regulations and UK policies.
  • Identify any areas of concern or areas for review/update to Compliance policies, business procedures, training initiatives and the like and escalate / action accordingly.
  • Through research of rules and supporting literature, maintain own knowledge of regulatory and business standards.
  • Actively contribute to the achievement of team and departmental goals/objectives.
  • Represent Compliance in discussions with the business units and other shared services

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