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Compliance Manager

Date posted: 21 Nov, 2019
Ref: Ref:cm211119
Industry: Compliance
Salary: £45000 - £50000 + Bens
Location: Milton Kenyes
Contract Type: Perm
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Further Information

My client is an expanding Financial Services provider based in Milton Keynes. Due to the continued success of the organisation and subsequent growth of the Risk and Compliance function, they are currently recruiting for a Compliance Manager. 

Reporting to the Head of Compliance your main responsibilities will include;

  • Act as first point of contact across the business for general compliance advice 
  • Assist with general Compliance monitoring and auditing activities
  • Co-ordinate and assist with annual process and policies reviews
  • Maintain Financial promotion, conflict of interest, breaches and other regulatory record keeping registers
  • Quarterly monitoring of Training and Competency records 
  • Support the business on any regulatory changes and updates, influencing change at all levels
  • Communicate new policies and reminders across the business 
  • Ensure business is adhering to key policies – i.e. TCF, Vulnerable Customers, Data Protection etc.  
  • Alert the business to upcoming regulatory requirements and guidance

You will be a Compliance professional with a minimum of 3 years experience within the Financial Services sector. Excellent opportunities to progress within this fast moving company.

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