Compliance Policy Manager
My client is a long established and highly respected Financial Services organisation who are currently looking to recruit a Compliance Policy Manager to join the firms Compliance function and contribute to the successful development of the firm in line with the strategy identified in the business plan including fulfilment of the Financial Conduct Authority requirements.
- To manage the Central Monitoring Team and agree with the Head of Regulation the programme across the head office business and monitor the programme’s progress.
- To lead on Compliance projects as directed by Head of Regulation, cooperating with the Monitoring Manager on processes and documentation
- To take responsibility for drafting communications to inform branches and Head Office on relevant subjects in a timely manner e.g. Compliance
- To develop and maintain risk monitoring MI and KRIs and contribute to quarterly reports on firm's risk framework and ensuring risk matrix is reflective of new and emerging risks.
- To ensure compliance with the FCA requirements by taking responsibility for the maintenance and development of Branch and Department manuals and to assist in the implementing of new procedures and review and update manuals every May and November to ensure the requirements and guidance are up to date
- To deal in the first instance with FCA correspondence on investigations and requests for information.
- To investigate and deal with complaint files referred to FOS as an independent "four eyes" check.
The ideal candidate will have a relevant professional qualification and sound knowledge of FCA regulations. Ideally you will have the Diploma in Investment Compliance or equivalent and full level 4 qualification e.g. CII Financial Planning Diploma or CISI Investment Advice Diploma.
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