Key Information

Nottingham

Permanent

Depending on experience

Ref: 4477

About the Company: We are actively recruiting for a Financial Services client based in Nottingham City Centre.

Job overview: Our client is looking for a Compliance Manager with the potential progression into FCA CF10 position.

Compliance Manager Role:

  • A senior management role within the UK businesses
  • Ownership for the Risk Management Framework
  • Reporting into UK senior management and Board of Directors
  • Potential progression into FCA CF10 position
  • Assessment and management of risks and incidents deriving internally, external suppliers, agents and Clients
  • Training and awareness building to the above teams
  • Supporting the alignment of FCA regulated UK businesses to the wider group

Responsibilities:

  • Ensuring compliance with level 1 external rules and regulations within which the UK business operates (predominantly FCA permissions and AIS regulatory standards)
  • Ensuring compliance with level 2 systems of control, including the Risk Management

Framework and its related businesses

  • Build and maintain our Conduct Risk oversight and Compliance Monitoring Programme
  • Support the UK businesses with Clients including new take-on and ongoing service audits
  • Support the UK businesses with suppliers and agents requesting the use of our services and where we require to engage them
  • Run the Risk Committee meetings, including ownership of the risk register and incident registers
  • Report to senior UK management and Board of Directors
  • Own the accuracy of our UK policies and compliance procedures, while maintaining alignment with our wider group requirements
  • Maintain an understanding of our regulatory environment and keep abreast of the changes to it
  • Promote best practice within the UK businesses
  • Training of the UK and group teams, plus potential Clients where needed

Requirements:

  • A deep understanding and experience of FCA regulation in the consumer financial services space and the FCA Handbook
  • Knowledge of and experience of regulations surrounding AIS activities
  • Proven compliance management other senior compliance experience
  • Ethical and principled
  • Experience in delivering robust compliance frameworks
  • Proactive and diligent with the ability to see issues through to resolution
  • Demonstrated ability to communicate, present and influence credibly and effectively at all levels of the organization, including executive and C-level
  • Proven ability to manage multiple projects at a time while paying strict attention to detail
  • Excellent listening and presentation skills
  • Excellent verbal and written communications skills
  • Experience of Microsoft Office Suite and able to interpret Management Information

 

Benefits:

  • This is a full time permanent role – salary depending on experience.
  • Private healthcare
  • Pension with 5% contribution
  • Annual bonus of up to 20% of salary
  • Company summer and Christmas events
  • 23 days holiday plus bank holidays

The first stage of the application process is to apply online.

If you have not been contacted by telephone or email within 7 days of your application, you have been unsuccessful on this occasion.

Unless you notify us otherwise, we will retain your CV and covering letter on our database and may contact you with other job opportunities in the future.