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Compliance Manager

Date posted: 12 Jul, 2018
Ref: Ref:cm120718
Industry: Compliance
Salary: £50000-£70000 + Bens
Location: Salisbury
Contract Type: Permanent
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Further Information

My client is a Financial Services provider based in Salisbury. Due to the continued success of the business and subsequent growth of the Compliance function they are currently recruiting for a Compliance Manager. 

Reporting to the Compliance Director and supervising a small team you will be the subject matter expert for compliance within the business. You main responsibilities will include;
  • Provide oversight and challenge of operational areas to ensure compliance with relevant regulatory requirements.
  • Provide oversight and challenge of operational areas to ensure all risks to the business are identified
  • Establish effective internal relationships with key business partners
  • Support staff to understand their regulatory responsibilities and identify key risks associated with their business
  • Maintain up to date knowledge of relevant FCA and other regulatory/legislative developments (COBS, DISP, SYSC)
  • Provide regulatory training to operational staff as required
  • Receive and review appropriate business MI
  • Produce monthly risk reports, for use at both entity board as well as group board level
  • Provide policy guidance across all areas of regulation to the business
  • Act as the primary point of contact with the regulator for issues arising within the regulated entity
  • Undertake compliance monitoring and root-cause analysis of regulatory issues identified across operational areas
You will be a Compliance professional with a minimum of 3 years Compliance experience within a Financial Services provider. Experience of the pensions sector is desirable, although not essential. 

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