- 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 - Greater 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 yearResponsible 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.
Key Purpose
