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Compliance Policy Manager

Date posted: 26 Sep, 2016
Ref: Ref:cp260916
Industry: Compliance
Salary: £50000 - £55000 + Bens
Location: Birmingham
Contract Type: Permanent
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Further Information

My client is a successful Financial Services provider based in the West Midlands. Due to the recent growth of the organisation and subsequent expansion of the compliance function, they are currently recruiting for a Compliance Policy Manager. 
You will report to the Head of Compliance and supervise a small team. You will ensure that all product, process and regulatory policy and guidance is appropriately defined, reviewed, updated and monitored to ensure compliance with regulatory requirements. 
You key responsibilities will include;
  • Ensure that business areas understand their regulatory obligations 
  • Understand the requirements of the FCA as they relate to Compliance, regulation and the customer journey 
  • Ensure the embedding of a compliance culture into all business areas and providing guidance, support and advice in respect of regulatory compliance.
  • To develop and continuously review the organisation’s documentation, policies, procedures and controls relating to compliance 
  • To identify conduct and operational risk issues that impact the business
  • Management and development of staff ensuring appropriate skills, resources and succession plans are in place 
  • Build effective and strong relationships with the key stakeholders within the business to contribute to the delivery of company objectives
You will be a Compliance professional with at least 3 years experience within the Financial Services sector. You will have knowledge of the regulatory regime and the requirements and guidance issued by the regulatory bodies. You will have awareness of the rules (COBS, ICOBS and MCOB), what they require and how they should be applied.


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