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Compliance Team Leader - Authorisations

Candidate Source
Hitchin, UK
Closing date
4 Feb 2021

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Technology & New Media
Contract Type
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Job Details

Our client is one of the UK's leading independent providers of regulatory compliance consultancy and Regtech services. With increased regulatory activity our client is looking to appoint a Compliance Team Leader within the Managed Services area. Supporting the "Head of Managed Services", the focus of your team will include authorisations work for the FCA and Prudential Management and Regulatory Reporting.

You will ensure clients are satisfied with both the level and quality of service they receive in relation to the specific services they have engaged the company for and for which, they are likely to retain the company for their future compliancy needs.

You will need to oversee the team, whilst personally undertaking authorisations and Prudential work, which can be trained if you offer strong leadership skills or vice versa, if you have authorisations knowledge but require development on leadership.

As a Compliance Team Leader, within the Managed Services Team, you will:

Ensure that systems and timesheets are being maintained relative to each project or task and that all direct reports are consistent and accurate in their use of the same.
Collectively agree priorities with other Leaders to efficiently and effectively manage and distribute workloads within the department.
Ensure with other colleagues that the department manuals and policies and procedures are kept relevant and up to date.
Manage the team, ensuring regular documented one to ones with direct reports take place and to adhere to the Performance Management Framework.
Mentor, coach and motivate individuals to reach their potential and to support career development and succession planning with a structured training programme ensuring knowledge is not concentrated.
Where relevant overseeing and managing the process of submitting applications to relevant regulators.
To develop relationships with key stakeholders in relation to any type of project undertaken within Managed Services and to support the development of client relationships, post authorisation, by introducing retainer processes.
Provide practical support to clients and colleagues in carrying out a range of tasks such as online applications for Approved Persons, regulatory reporting, maintenance and delivery of client compliance documentation.
Ensure quality standards are met and to follow a sound quality assurance (QA) process of review that aligns with the business standards and ensures constant improvement of QA processes.
Support internal colleagues with projects that will contribute to process improvements through increased efficiencies, productivity and effectiveness.

To be a successful Compliance Team Leader, within the Managed Services, you will have the following skills and experience:

Ideally honours level graduate degree or equivalent work experience.
Proven compliancy regulatory knowledge within the UK.
Strong interpersonal skills and experience of managing people.
Strong understanding of the FCA/PRA regulatory environment / framework.
Good knowledge of the FCA Application process, Anti Money Laundering and Financial Crime Legislation.
Compliance auditing and reporting including gap analysis.
Strong in both verbal and written communication.
Ability to manage workloads and organise competing priorities.
Willingness to learn and develop.
Very strong PC skills in Microsoft Office applications.
Highly structured working approach.
Excellent time management skills.

In return, the Compliance Team Leader can expect a competitive basic salary depending on experience and a full benefits package including 25 days holiday (rising to 30 through service), your birthday off work, 5% employer contribution pension scheme, private health care (partner and family), health cash plan, life cover and excellent social events.

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