- Execute the Compliance Monitoring Plan, producing accurate monitoring reports routinely and ad-hoc, on the management of key risks and effectiveness of the business' control framework.
- Ensure the business complies with its regulatory Consumer Duty requirements and maintains adherence to the senior managers and certification regime policies.
- Discharge all policies including data protection and whistleblowing, ensuring business understanding and adherence to, supporting any investigation into breaches or wrongdoing.
- Ensure timely delivery of informative compliance reporting and areas for escalation relating to data protection, QA, complaints, financial crime, and horizon risk.
- Assist senior management in maintaining the business' risk registers, managing and tracking key risks in line with the risk and control self-assessment (RCSA) process.
- Support the Head of Compliance in partnering with the key business stakeholders to ensure overall compliance and adherence to all key policies and procedures.
- Experience writing and implementing policies and procedures in line with FCA regulations.
- Subject matter expertise of FCA regulation is essential (3+ Years).
- Experience in undertaking compliance reviews, assessments, and presenting recommendations to senior management.
- Conducting research, writing articles on compliance-specific issues to update teams internally.
- Keeping up to date with current regulatory developments and informing teams internally in a digestible and actionable manner.
- Extensive knowledge of the Financial Services, with experience of reviewing and approving marketing materials and financial promotions for an FCA regulated business (within consumer financial services).
- Ability to maintain compliance while offering guidance on options, alternatives, and creative ways to reframe marketing copy and designs.
- Experience in developing, maintaining, and optimizing compliance workflows while balancing speed, efficiency, and regulatory requirements.
- Experience working in a high-growth, fast-paced environment with the appetite to do things differently and embed new ways of working whilst maintaining documented decision making and audit trails.
- An excellent communicator capable of driving strong cross-functional collaboration and effective management of senior stakeholders.
- Meticulous attention to detail, excellent organizational skills, with the ability to project manage multiple priorities simultaneously.
- Draft, update, and review compliance policies in line with regulatory requirements.
- Comprehensive training and ongoing support.
- Clear career progression opportunities.
- An open-minded culture that embraces innovation.
- On-site gym
- Great Commission scheme
- Healthcare benefits, discounts, and freebies.
- Social events and team recognition programs.
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Compliance Manager - Manchester, United Kingdom - Sherborne Talent Solutions
Description
Compliance Manager
I have an exciting new opening for a passionate and talented individual to fulfill the role of Compliance Manager within the financial solutions sector for my incredibly successful award-winning client based in a prime location in Manchester city.
A typical day:
Success in this role requires:
Perks and Benefits:
APPLY TODAY and avoid missing out on this opportunity to be part of a team that values your contribution and encourages you to make a real difference.
