Our client is a growing, multi-sited organisation with a Head Office on the outskirts of Oxford. They have an newly created permanent requirement within their business for a Compliance Manager.
Reporting into the CFO, you will be responsible for:
- Regulatory compliance management within the business; coordinating and developing the compliance monitoring calendar and internal deliverables across the regulated businesses.
- Designing and maintaining the Compliance Monitoring Programme (CMP).
- Monitoring, and recording the results of the CMP and overall the businesses compliance with FCA Rules.
- Submitting Quarterly and/or Annual Financial Returns and other reports to FCA, within the prescribed deadlines, and the gathering of internal information in response to regulatory requests.
- Developing and initiating an Annual Compliance Plan.
- Ensuring that appropriate management information (MI) is available to enable the board to exercise appropriate regulatory controls of the business.
- Managing the relationship with the FCA effectively.
- Handling FCA related compliance queries.
- Recommending and initiating changes to systems, controls and procedures in response to FCA Rule changes.
- Reading, and understanding the implications of, FCA Consultation Documents, Policy Notices, Notices of Disciplinary Action, Regulatory Updates and other publications etc.
- Designing and maintaining the Compliance Procedures Manual ensuring that it is up-to-date at all times.
- Organising the meetings and the reporting to the Internal Compliance Committee (ICC).
- Obtaining pre-approval from FCA for clearance events and making pre- and post- notifications to FCA of notification events, within the prescribed deadlines and in the prescribed manner.
Candidates that apply must have previous Compliance experience within a regulatory compliance function. You should excellent attention to detail, strong communication skills, good at problem solving with a high level of IT skills.
On offer is a salary of 45-55k (depending on experience), plus benefits and the role will be predominantly home based.