Compliance Manager

Posted 17 January by Elite Staffing Solutions

This is an exciting and rare opportunity to work with a client that is a highly successful and dynamic financial services company who specialise in providing independent financial advice throughout the region. They are a friendly, yet ambitious business who are further expanding their busy team in Taunton.

Experienced within the mortgage profession, we are seeking a Compliance Manager to join them as soon as possible, on a full time, permanent basis based from their Taunton office. Salary is £30,000 - £35,000 dependent on experience, plus benefits.

Whether you are already in a Compliance role and need a change or you are an accomplished Mortgage Advisor seeking a new direction - this could be for you!

The successful candidate will be responsible for:

  • Oversee regulatory change management to deliver the right customer outcomes
  • To identify business risks ensuring all current and future regulatory requirements are adhered to with effective controls in place.
  • Ensure that conduct and regulatory risks are appropriately evaluated
  • Provide regulatory and conduct advice to encourage safe growth for the company
  • Encourage a positive compliance culture within the business
  • To ensure appropriate standards/ procedures are followed by advisers.
  • Identifying areas where advisers can improve their standards and associated risk ratings.
  • Instruct, coach and monitor individuals, producing reports and individual training/ development plans ensuring all outstanding actions are completed within agreed timescales.
  • Ensure suitable and timely escalation of regulatory and conduct risks and issues
  • Deal with any issues escalated as a result of file reviews
  • Taking ownership of reviewing regulatory requirements to ensure that the company processes remain appropriate
  • The successful candidate must have

  • CeMAP or equivalent
  • Excellent working knowledge of FCA principals and regulatory reporting
  • Experience of dealing with complaints
  • Excellent communication skills
  • MS Office
  • Commercial focus and the ability to think through consequences and outcomes
  • Ability to foresee risk and opportunities

This is a fantastic opportunity to join a growing business and further experiences.

Elite Staffing Solutions are acting as an Employment Agency on this vacancy.

Reference: 33975242

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