Compliance Manager - Leicestershire, United Kingdom - Ultimate Banking Ltd

Ultimate Banking Ltd
Ultimate Banking Ltd
Verified Company
Leicestershire, United Kingdom

2 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

Our client is a mortgages and savings provider, seeking an experienced Compliance specialist to join their Risk and Compliance team as an interim Compliance Manager.

Their head office is based in Leicestershire, however they happy for this role to be fullyremote if preferred.

The contract is for at least 3 months, however it is likely this will be extended to circa 6 months.

You will be on their payroll as this is a fixed term contract.


Reporting into the Head of Risk, this role holder will provide assurance that the company is operating within its policies and procedures and adhering to regulatory requirements.


Main duties of the Compliance Manager will include:

  • Undertake a risk assessment of the business and devise an Annual Compliance Monitoring Plan (including a rolling plan of quality assurance monitoring) covering key risk areas.
  • To ensure that the Annual Monitoring Plan is completed each year and the results of the monitoring shared with the business.
  • To provide MI for submission to the Audit and Compliance Committee that the company is operating within its policies, procedures and regulatory requirements.
  • To ensure that the process for the compliance signoff process of financial promotions is robust and that a full, accurate record is held of all financial promotions signedoff by the Compliance team.
  • To embed the Compliance Framework throughout the business and develop an open and approachable relationship with all teams to promote a healthy compliance culture across the business.
  • To prepare compliance reports for the Audit & Compliance Committee to provide ongoing assurance and progress against the Annual Compliance Plan.
  • To liaise with the Risk Manager in respect of the development of the Annual Risk Plan.

The successful individual will possess:

  • Previous Compliance experience within financial services
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