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Compliance Manager

Parke Lane People
Closing date
31 Jan 2022

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Contract Type
Full Time
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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.
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