Compliance Manager - Preston Brook, United Kingdom - Affinity Search and Selection Limited

Affinity Search and Selection Limited
Affinity Search and Selection Limited
Verified Company
Preston Brook, United Kingdom

2 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

Role:
Compliance Manager


Location:
Runcorn


Salary:
From £30,000 (DOE)


Hours:
Monday - Friday 8:30am - 5:30pm (5pm finish on a Friday)

Our client is currently looking to recruit a Compliance Manage to join their busy, growing team based in Runcorn.

As a Compliance Manager you will identify issues with financial services rules, laws, regulations and ethics. You will resolve them as fast as possible.

When there's a breach or potential one, you will work with the business to find ways to reinforce thelaid down policies, procedures and regulations.


Key duties of the Compliance Manager:

  • Conduct regular investigative activities to ensure the business is compliant with all applicable laws and regulations to prevent issues entirely. (Most commonly GDPR, Financial Conduct Authority (FCA) & Treating Customer Fairly (TCF) and Insurance DistributionDirective (IDD))
  • Identify the root cause of compliance problems when they arise
  • Resolve compliance issues fast and prevent them reoccurring
  • Audit the business and individual policy and document owners to check they comply with information security and information management regulations. Agree mitigating action for breaches
  • Support the business to manage new and ongoing supplier contracts
  • Review products and associated materials issued to clients to ensure these remain accurate and compliant at all times
  • Keep self and business up to date with regulatory and legislative changes
  • Adhere to company and regulatory policy and procedures
  • Contribute to strengthening colleagues' awareness of compliance and promote ethical working

The successful Compliance Manager will have the following:

  • Minimum of 'A' level qualification
  • Experience in a compliance role and/or function at an advisory or management level
  • Excellent problemsolving skills and ability to make critical decisions
  • Excellent analytical skills and ability to analyse and interpret information quickly
  • Indepth knowledge of the financial services industry standards and regulations
  • Excellent understanding of reporting procedures and recordkeeping
  • Excellent project management skills.
  • Have a methodical and diligent approach
  • Excellent conflict management skills and the ability to dissolve issues easily
  • Be able to work in a fastpaced environment and be adaptable to change
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