Compliance Manager

Posted 26 January by Executive Stand By Ltd
Compliance ManagerA Manager/ Subject Matter Expert role reporting into the Conduct & Risk Director responsible for Implementing business facing elements of Conduct and Risk strategy, acting as a point of contact/ Compliance business partner, executing supplier compliance audits and reviews to ensure conduct standards are being maintained. Working with the business to ensure client audits are managed effectively.

This is a Management/ subject matter expert role.

Principal Responsibilities

Facilitating Third Party Audits including desk top and on site audits including preparation of material producing reports and gaining feedback

Assisting the Conduct & Risk Director in the delivery of Regulatory Change

Assist the Conduct & Risk Director in providing commercially aware and timely compliance advice and support services to the business to ensure that the highest standard of conduct risk outcomes for customers are maintained.Build strong and effective relationships across the business to promote Risk & Compliance

Act as a referral point for the business, providing technical input and expertise, interpreting compliance regulations/requirements and relating this to business activities.

Facilitating Client Audits including preparation of material, organising facilities and accompanying visits on the day

Co-ordination of audit responses and oversight for the closure of all audit remediation and actions

Report audit findings and recommendations to mitigate risks

Assisting the Conduct & Risk Director in any other duties required.

Preparing reports and present findings to management and key stakeholders

Liaising with markets and internal management to facilitate an effective third party and client audit process

Review and provide documentation to support external audit processes

Any other reasonable duties requested

To encourage behaviours and attitudes across the business that ensures the fair treatment of consumers.

Skills, Experience & Attributes

Good knowledge and understanding of FCA requirements, DPA, OFCOM, FOS and LSB

A excellent communicator, both written and verbal, with proven experience of communicating with members of the Senior Management team, or the ability to demonstrate confidence in this area

Pro-active, considered and systematic approach in order to deliver accurate reviews of key business processes

An eye for detail, an analytical approach and the ability to be objective are key skills required for this role

A desire to learn, take on board feedback, work independently and as part of a team are all essential attributes to progress within this role

Displays a genuine passion for compliance and a commitment to both personal development and the development of the business

Conducts themselves with professionalism and objectivity

Work Environment
  • Office environment
  • External Client and/or Third Party Offices

To Apply please submit your CV

Required skills

  • Risk
  • Compliance Procedures
  • Audit Reports
  • Audits
  • fca

Reference: 34012941

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