- Develop and implement the Risk-Based Monitoring Programme ('RBMP'), through overseeing work performed and update the RBMP to meet developing business needs and/or regulatory changes.
- The provision of advice and guidance to the business on regulatory issues.
- Prepare and deliver management and regulatory reports.
- Develop and roll out of Compliance policies and procedures
- To liaise with and provide advice/guidance to Wealth Institutional Partners on regulatory issues and policies.
- Deputise for the Head of Compliance where required
- Manage junior staff
- Responsibility for the end to end complaint process for Compliance
- Undertaking thematic reviews for the Compliance Monitoring Program and assisting with Internal Audits where applicable
- Maintaining and updating the firm's Risk Based Monitoring Program and Risk Register.
- Oversee, support and escalate findings identified through monitoring work to respective operational departments and/or key management persons, as appropriate.
- Working with corporate partners to establish and maintain an excellent Compliance relationship.
- Develop and prepare routine and ad hoc reports for senior management
- Promoting an awareness of, and adherence with, the firm's compliance policies and procedures.
- Management of investigations into specific cases of suspicious dealing activity (Market Abuse).
- Ensuring that a good working knowledge of appropriate regulations and internal policies and procedures is maintained throughout the organisation.
- Assisting to ensure the dissemination of changes to compliance requirements and other regulatory developments by notification and, if appropriate, through the provision of both internal and external training;
- Logging and reporting identified rule breaches to respective governance committees and senior management where appropriate
- Overseeing the recruitment of new staff and to include training, appraisals, managing performance and ongoing development
- Ensuring that topical compliance issues are effectively communicated to other members of the Compliance team.
- Maintain the second line defence by ensuring department adherence to business processes and procedures that are designed to meet the regulatory standards set out in the relevant FCA rules and guidance
- Treat clients fairly at all times
- Maintain the second line of defense by operating risk controls assigned to the individual
- Use the training and competence scheme to maintain the appropriate knowledge, skills and expertise to carry out the role competently.
- Adhere to company policies and procedures are all time including but not limited to; Code of Code, Information security, People Office policies, compliance policies and procedures
- Attend governance and internal committees representing Compliance
- Good working knowledge of the FCA handbook, AML and GDPR regulations and underlying legislation.
- Ability to relate specific regulatory requirements to business areas.
- Strong analytical skills and able to work with complex data.
- Self-motivated and capable of prioritising and organising workload within the team as required.
- Tenacious and thorough approach to completing tasks.
- Well organised and methodical.
- Strong interpersonal and communication skills (both written and verbal).
- Ability to work with co-workers and external contacts at all levels.
- Familiar with and competent in using PC-based software packages and applications.
- Able to assimilate and summarise information and present via appropriate channels.
- Ability to complete tasks and objectives with minimal supervision and within deadlines
- A multifaceted job with a high degree of responsibility and a broad spectrum of opportunities
- A modern, international work environment and a dedicated and motivated team
- A broad range of professional education and personal development possibilities – FIS is your final career step
- A competitive salary and benefits
- A variety of career development tools, resources and opportunities
- The chance to work on some of the most challenging, relevant issues in financial services & technology
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Compliance Manager - Manchester, United Kingdom - Jobs for Humanity
Description
Job DescriptionPosition Type :
Full timeType Of Hire :
Experienced (relevant combo of work and education)Education Desired :
Bachelor of ArtsTravel Percentage :
5 - 10%Are you curious, motivated, and forward-thinking? At FIS you'll have the opportunity to work on some of the most challenging and relevant issues in financial services and technology. Our talented people empower us, and we believe in being part of a team that is open, collaborative, entrepreneurial, passionate and above all fun.
About the role
The role of Compliance Manager is to support the Head of Compliance and actively participate within the Compliance Department in pursuit of its objective of providing excellent compliance service.
The key elements of the role are;
What you will be doing:
What you bring:
What we offer you:
#LI-LT1
Privacy Statement
FIS is committed to protecting the privacy and security of all personal information that we process in order to provide services to our clients. For specific information on how FIS protects personal information online, please see the Online Privacy Notice.
Sourcing Model
Recruitment at FIS works primarily on a direct sourcing model; a relatively small portion of our hiring is through recruitment agencies. FIS does not accept resumes from recruitment agencies which are not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings, our employees, or any other part of our company.
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