Job description: THE COMPANY:Our client is a boutique financial services firm based in St Albans, seeking a Compliance Manager on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:
Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the mandatory requirements
Provide Compliance and AML oversight and Data Protection advice and guidance
Contribute to regulatory returns being completed accurately and in a timely manner
Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
Ensure all day to day business as usual compliance breaches and complaints handling support is provided in a timely manner.
Act as a second line defence to identify and monitor risks and provide a feedback loop to Head of Compliance & Risk and the Operational Practice of the business
Provide ad hoc compliance training and coaching
Contribute to the Compliance Monitoring Plan in order to analyse the company’s compliance with regulatory requirements including FCA obligations, Data Protection, Fraud Prevention and measures, Consumer Duty Basic Principals and anti-money laundering.
Contribute to and maintain Breach Register, ensuring Breaches are reported and completed to a high standard and within the agreed SLAs.
Contribute to and input to complaint management service including maintaining the clients Complaint Register.
Analyse the causes of regulatory and procedural breaches and ensure that practical remedial actions have been taken to mitigate against future occurrence
Contribute to the operation of PEP and Sanctions screening tool to satisfy the regulatory requirements of clients.
Review and maintain the Compliance Manuals
EXPERIENCE REQUIRED:
Minimum of 5 years’ experience in Financial Services, preferably in the Investment and Life Protection sectors
Appropriate qualifications in financial services
Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally
Display sound and proportionate judgement
Display a commercial outlook
Awareness of the FCA handbook and data protection
Awareness of ISO27001 Standard
For further information please contact Duncan JefferyAbout this roleLocation:HertfordshireSpecialism:Salary:Up to £65,000 paType:Reference:19034
Expected salary: £65000 per year
Location: Hertfordshire
Job date: Sat, 02 Nov 2024 07:42:13 GMT
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