Kind Consultancy is working with a well established retail Financial Services business based in Nottinghamshire which is now seeking a Compliance Manager.
The Compliance Manager will lead a small Compliance team, with key responsibilities including:
- Assisting the Governance Executive, in the development of plans, policies, procedures and systems to ensure the department achieves its objectives in relation to conduct risk and treating customers fairly, compliance with MCOB, ICOBS, BCOBS, AML/fraud prevention, data security, data protection and health and safety
- Managing, supervising and coaching Compliance colleagues on a day-to-day basis
- Ensuring that Compliance Department colleagues carry out their duties satisfactorily and in accordance with documented policies and procedures
- Interpreting regulation and legislation in order to provide advice, support and guidance to the business in the implementation of regulatory and legal requirements to ensure full compliance
- Carrying out, assisting with, evidencing and reporting on 2nd line Compliance monitoring activity, monitoring reviews and branch inspections, ensuring compliance with regulatory, statutory and procedural requirements in accordance with the agreed Compliance Monitoring Programme
- Overseeing and reviewing Compliance Monitoring Programme work undertaken by the Compliance Officer and Compliance Support Officers, providing appropriate feedback.
- Ensuring that regulatory requirements relating to Anti Money Laundering (AML) and Countering Terrorist Financing (CTF) are complied with.
- Conducting and assisting with the recording, monitoring and reporting of all activities associated with Financial Crime (including AML/CTF and Fraud)
Our ideal candidate for the Compliance Manager opportunity:
- Is a hands-on Compliance Manager with substantial previous experience in 2nd line oversight, internal audit or another similar role
- Has successfully led, developed and managed a small team
- Has excellent knowledge of FCA regulatory rules and guidance including BCOBS, MCOB, Complaints, Financial Promotions, Financial Crime and Data Protection Regulations
- Is a big-picture thinker, able to work collaboratively with all areas of the business and liaise with colleagues at all levels across the business
- Is highly organised and an excellent communication and problem solver
If you’re interested in the Compliance Manager opportunity and you have the knowledge, skills and experience we’re looking for, please apply with an up to date CV today.