- To support the Head of Sales in the development and operation of the regulatory compliance function.
- Be a trusted adviser to business areas providing high quality advice on all relevant aspects of conduct risk and FCA regulation.
- Review regulatory changes and advise the business of any options, changes or necessary actions that would need to be taken to ensure the business remains compliant.
- Review new products and processes and advise on changes required to ensure that the business remains compliant.
- Provide timely and high quality advice to business areas on all relevant aspects of conduct risk and FCA regulation.
- Use regulatory, industry and media resources to identify and ensure the employer remains current with regulatory and industry practice.
- Communicate regulatory and industry rule and policy changes to relevant stakeholders and business areas. Assist with devising action plans to ensure compliance. If a monitoring need is identified, notify the Head of Sales.
- Work with business areas to help them understand the impact of regulation on their product / project and to help them find a workable solution which is compliant with relevant regulation.
- Review new products and processes and advise on changes required to ensure that the business remains compliant and is managing its conduct risk.
- Provide guidance on financial promotions, in conjunction with the Legal / Senior Management Team.
- Ensure that information requests received from the FCA are completed by the deadline
- Deliver training and other means of support to the company to assist colleagues to manage conduct and regulatory risk across the firm.
- Set an example as a team player, respectful of others in the organisation and maintain a focus on overall business objectives; contributing towards a productive and healthy working environment.
- Maintain the highest level of confidentiality; housekeeping; and to ensure that personal behaviour and attitude reflects the essence of the employer and the core values.
- Ensure compliance with approved company, statutory and regulatory policies/procedures
- Regulatory environment experience
- Consumer Credit Compliance experience
- Highly organised with good personal efficiency and capable of managing multiple tasks
- Ability to communicate effectively at all levels within the business both verbally and in writing
- Experience of working to deadlines in a changing environment.
- Ability to work independently with a flexible and adaptable approach
- Proactive team player
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Head Of Compliance - Manchester, United Kingdom - Richard Abson Group
Description
Head of Compliance required for a superb automotive dealer group in the North West. The position is available due to retirement later in the yearIf you think you are the right match for the following opportunity, apply after reading the complete description.
Responsible for:
Ensuring that the business (and its products and services) comply with FCA regulation; performing internal and external compliance monitoring; implementing a robust business continuity programme; ensuring that documentation is compliant with law and regulation; and that anti-bribery policies are implemented.
