THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Compliance Manager on a permanent basis.
This is a great opportunity for someone to work locally in a close-knit team.
THE RESPONSIBILITIES: Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the mandatory requirements Provide Compliance and AML oversight and Data Protection advice and guidance Contribute to regulatory returns being completed accurately and in a timely manner Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
Ensure all day to day business as usual compliance breaches and complaints handling support is provided in a timely manner.
Act as a second line defence to identify and monitor risks and provide a feedback loop to Head of Compliance & Risk and the Operational Practice of the business Provide ad hoc compliance training and coaching Contribute to the Compliance Monitoring Plan in order to analyse the company's compliance with regulatory requirements including FCA obligations, Data Protection, Fraud Prevention and measures, Consumer Duty Basic Principals and anti-money laundering.
Contribute to and maintain Breach Register, ensuring Breaches are reported and completed to a high standard and within the agreed SLAs.
Contribute to and input to complaint management service including maintaining the clients Complaint Register.
Analyse the causes of regulatory and procedural breaches and ensure that practical remedial actions have been taken to mitigate against future occurrence Contribute to the operation of PEP and Sanctions screening tool to satisfy the regulatory requirements of clients.
Review and maintain the Compliance Manuals EXPERIENCE REQUIRED: Minimum of 5 years' experience in Financial Services, preferably in the Investment and Life Protection sectors Appropriate qualifications in financial services Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally Display sound and proportionate judgement Display a commercial outlook Awareness of the FCA handbook and data protection Awareness of ISO27001 Standard For further information please contact Duncan Jeffery