Edinburgh Regional Compliance Manager

Recruiter
Search Consultancy Ltd
Location
Edinburgh
Posted
01 Nov 2018
Closes
11 Nov 2018
Sector
Legal
Contract Type
Permanent
Hours
Full Time
Regional Compliance Manager Reporting directly to the Head of Compliance To provide professional Compliance guidance to SIPP staff, whist ensuring that the management of risk is controlled by the full use of compliance within SIPP. Assist in the design, implementation and periodic review of SIPP Compliance procedures. Policies and Procedures are in place and altered when they fail, or a change in procedure becomes necessary. Risk assessment Contribute to the risk assessment process by assisting in assessing, prioritising and documenting the major risks impacting (including but not restricted to conduct risk, TCF, industry, operational, financial and regulatory risks) on a quarterly basis. Identified risks are reported to the Head of Compliance in a timely manner. A Quarterly Compliance Report is submitted to the Group Compliance and Legal Director. Investigation Assist in investigating any significant issues of concern and report as appropriate. Significant issues identified in an investigation are reported to the Head of Compliance in a timely manner and documented in the quarterly Compliance Report which is submitted to the Group Compliance and Legal Director. Monitoring Undertake monitoring of SIPP in accordance with the Compliance Monitoring Programmes, ensuring that all findings are documented and reported in a timely manner. Pass on any Consultant development needs identified as part of the monitoring process to the T&C Officer. A monitoring programme is in place and being followed by Compliance staff. Reports on the findings are submitted to the Head of Compliance and findings recorded on the relevant database in a timely manner. Quarterly Compliance Report is also submitted to the Group Compliance and Legal Director. Where relevant, development needs are passed on to the T&C Officer in a timely manner, to enable him/her to implement the appropriate training. Anti Money Laundering (AML) Where required provide guidance on AML to SIPP staff and report any instances of potential Money Laundering internally. Anti Money Laundering procedures are in place and being followed by the job holder. Any breaches of AML procedures are reported to the Head of Compliance and in the quarterly Compliance Report submitted to the Group Compliance and Legal Director. Data Protection Where required ensure that SIPP staff are made aware of relevant aspects of GDPR and the Data Protection Act which affects their roles. A Data Protection Policy is in place and procedures are followed by the job holder. Any breaches of data protection are reported to the Head of Compliance and in the quarterly Compliance Report submitted to the Group Compliance and Legal Director.

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