Compliance Manager

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Update day: 01-06-2024

Location: Ringwood South West

Category: Legal / Contracts Printing / Publishing

Industry:

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Job content

Location: Ringwood

Salary: £ doe

Benefits: 25 days holidays plus bank holidays, 2 days working in the office, free parking, regular socials, full training, career progression

We are now seeking an experienced Compliance Manager to work for our client in Ringwood min 2 days per week, then the rest of the time can be worked from home.

This is a great opportunity to join a growing group of companies with a fantastic culture and ethics.

The role will see you providing a generalist compliance function providing advice, support and training to the business across a wide range of compliance functions, ensuring compliance of the business and to its customers in line with FCA regulation and legal obligations. There is no control function responsibilities in this role as that sits with the Director whom you would report into directly.

This role would suit someone highly organised who has a compliance background from within a regulated industry such as financial services/banking. You will naturally be a good communicator with excellent attention to detail and good IT skills.

Ideally, as Compliance Manager, you will be a strong leader of people and will manage a team of 2.

£doe

Ringwood

Compliance Manager

Job Description

You will be working with the Senior Management team to support and make recommendations to ensure the companies and staff’s fulfilment to the guidelines of treating customers fairly, as well as ensuring that customer service levels are implemented and maintained to a high level.

You will also work with the Mgmt team to ensure that their client’s risk management needs are fully met to their satisfaction.

You will attend and represent the department in monthly management meetings and ensure that upwards and downwards communication is maintained at all times. Reporting directly to the Operations Director, you will maintain a close working relationship, flagging up any potential issues before they become a problem.

Job Duties

COMPLIANCE

  • Liaising with the FCA on regulatory issues and assimilating and implementing regulatory requirements in a timely manner and within imposed deadlines
  • Under the direction of the Operations Director and Managing Director, provide an Annual Compliance Plan establishing the basis on which compliance will be controlled and regularly monitored
  • To ensure that a written compliance report is completed annually detailing the effectiveness of the previous year’s plan, reporting on areas of weakness and remedial action to be taken
  • To ensure that the company’s Training and Competence procedures are actioned, supervised and audited
  • To ensure annual Fit and Proper declarations are completed by all those allocated a controlled function to include credit checks with a suitable sign-off
  • Ensure all Financial promotions are reviewed prior to implementation and printing/publishing to ensure they are compliant
  • To maintain and carry out regular checks to include New business, Financial Promotion, Complaints, Known Rule Breach, Lapsed/NTU/Cancelled, Fees and Commissions
  • Ensure half-yearly reports are submitted electronically to the FCA in a timely manner in accordance with FCA schedules
  • To ensure compliant PI cover is in place
  • In conjunction with the Operations Director and Managing Director ensure provision is made based on Risk Management on an annual basis giving areas of responsibility and identifying areas in a high, medium and low risk
  • To ensure appropriate training is delivered on various aspects of compliance such as money laundering, GDPR, FCA regulation and competence of roles
  • To carry out, at least quarterly, file checks from a random sample of staff files and sign off as compliant or return for further action, noting development areas
  • Ensure updates from the FCA are implemented across the company
  • To compile and submit half yearly reports to FCA in connection with complaint received, resolved and ongoing
  • To sign off all CPD records in line with Training and Competence requirements.
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Deadline: 16-07-2024

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