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    Compliance Manager - London, United Kingdom - Fintellect Recruitment

    Fintellect Recruitment
    Fintellect Recruitment London, United Kingdom

    3 weeks ago

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    Description

    Job Description

    Our Client

    Our client is on a quest to be the world's most proactive bank. They improve lives by providing better clarity, intelligence and technology to empower every individual in making the smartest financial decisions.

    The founding team is in place, and they have launched with a fully functional App. Starting out with a current account and credit card, they will be broadening their portfolio soon with the foundations in place for a positive, supportive and thoughtful new bank.

    We are now looking for an exceptional Compliance Manager to join the second line team. The role of Compliance Manager is principally to lead and support the business in the undertaking of compliance monitoring activities, and also in the development assessment and testing of controls. There are also wider responsibilities to support the CRO and Head of Risk and Compliance in relation to Compliance Advisory (including Financial Promotions) and/or Consumer Duty.

    Responsibilities of the role of Compliance Manager

    • To assist and support on all matters relating to Compliance Monitoring and control testing.
    • To monitor consultation papers and policy statements issued by relevant regulatory authorities and wider bodies, liaising as necessary with the CRO and Head of Risk and Compliance on how any such developments may impact the business.
    • Provide co-ordination support for regulatory risk assessments and requests for information, thematic reviews, and internal audits.
    • To collaborate with all business functions, ensuring that regulatory risk issues identified are escalated for investigation and resolution as appropriate.
    • To provide advice and guidance to 1st Line and senior management on regulatory matters, as required
    • To assist with the completion and submission of FCA regulatory returns as necessary.
    • To assist in production and challenge of relevant Management Information for Head of Risk and Compliance.
    • Production of/input to Risk and Compliance Reports and provision of management information for reporting to various committees, as required.
    • To liaise with all business functions as appropriate and respond to regulatory queries comprehensively and in a timely manner.

    Essential Skills and Experience of the Compliance Manager

    • Strong knowledge and experience of Compliance – developing plans and executing monitoring activities
    • Clear understanding of how 1st Line control effectiveness impacts regulatory and wider risk profile of the firm
    • Demonstrate a high level of experience in understanding FCA rules, principles and the regulators direction of travel
    • Demonstrate a risk-based methodology in work methods and reporting.
    • Strong analytical skills.
    • Ability to manage own workload, prioritising tasks appropriately and ensuring that agreed delivery dates are achieved.
    • Excellent interpersonal skills, able to communicate effectively with a wide range of people face-to-face and over the telephone.
    • Good written communication skills to allow the job holder to write and respond to emails and other written correspondence in a professional manner both internally and externally.
    • Participate in all departmental activities (training, controls, and reporting) as required.
    • Competent in use of Microsoft Office.
    • A good understanding of Consumer Duty
    • Experience in Compliance activities
    • A broad understanding of FCA regulations in relation to Consumer activity.
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