Compliance Manager - Birmingham, United Kingdom - MERJE Ltd

MERJE Ltd
MERJE Ltd
Verified Company
Birmingham, United Kingdom

3 weeks ago

Tom O´Connor

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Tom O´Connor

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Description
c.£50,000 + Benefits


Responsibilities of the job include:

  • Keeping uptodate with external regulatory requirements and ensuring that the policies followed by the Network and its ARs are up to date and reflect the Network's risk appetite.
  • Delivery of compliance related projects, or compliance elements of wider business projects.
  • Identification of emerging regulatory themes, and the provision of advice to the business on the risks and opportunities presented by these.
  • Design and production of policy materials, guidance, briefings and communications required to execute the above and to embed a 'compliance culture.'
  • Oversight and implementation of Network policy in relation to regulatory reporting and communication of exceptions to policy through the governance framework.
  • Provision of Compliance Subject Matter Expertise and advice and guidance to the business, including to business change and development programmes and projects.
  • Identification and reporting of breaches of procedure.
  • Considering the principles of Treating Customers Fairly (TCF) and to operate in a way that puts the customer first.

Requirements:


  • Good understanding and knowledge of the FCA rule books (COBS, MCOBS, ICOBS, SYSC, SUP, PRIN, DISP, MIPRU & PERG) and their implementation.
  • Good understanding of Conduct and Regulatory risk, as well as knowledge of the Three Lines of Defence model.
  • Knowledge of SMCR, risk, governance and compliance frameworks, regulatory rule and reporting,
  • Demonstrable experience of supporting delivery of complex compliance and business related projects
  • Capability to complete gap analysis of policy and guidance against FCA rules and requirements.
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