Compliance Manager - Poynton, United Kingdom - Barlow Wood Ltd

Barlow Wood Ltd
Barlow Wood Ltd
Verified Company
Poynton, United Kingdom

6 days ago

Tom O´Connor

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Tom O´Connor

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Description

COMPLIANCE MANAGER

POYNTON

£50, 000 - £60, 000PA + BENEFITS / FREE ONSITE PARKING


This is a newly created position in our clients business due to growth and exciting plans for the future, that you could be a part of.

They offer some great products and have plans to deliver some amazing new ones and need a Compliance Manager to supportthem.


The role sits within the Operations and Management team and is fundamental to the growth and success of the business.


Required

  • Detailed knowledge of the FCA rules and our clients business
  • The ability to support and influence colleagues in relation to their direct compliance responsibilities

Compliance Manager responsibilities
Monitoring all aspects of the firm's regulatory obligations

  • Reporting to senior management on the status of compliance within the firm
  • Immediately reporting any noncompliance or notifiable breaches, including breaches of COCON
  • Making individuals within the firm aware of their compliance obligations, including COCON
  • Providing all necessary compliance training
  • Keeping up to date regulatory developments
  • Advising senior management regarding FCA / regulatory issues
  • Regulation updates
  • Producing the annual compliance report for senior mangement
  • Managing the FCA relationship with the FCA (Principle 11)
  • Responding to FCA requests for information
  • Handling FCA notifications
  • Ensure all activities comply with FCA procedures and requirements
  • Carry out ongoing reviews on company reporting lines to ensure personnel changes are updated and communicated
  • Ensuring all stationery, website, terms of business etc are approved for compliance
  • Maintaining relevant records

In Return

  • 25 days holiday plus bank
  • Salary £50 60k doe
  • Access to all the tech you need to succeed in your role
  • Access to ongoing professional development resources (CPD) and training as required
  • Pension
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