Compliance Manager

Job Title:Compliance Manager

Location: Remote Work

Company: Access Financial Services

Salary: £30,000 - £40,000 per annum, depending on experience

About Us: We are a well-established and continually expanding Mortgage & Protection Broker firm. We are currently seeking a Compliance Manager for predominantly remote work. This role reports to the Head of Compliance and involves supporting the day-to-day operations of the business while also overseeing the quality assurance team.

Job Description: This is a full-time, permanent position with standard working hours from 9:00 AM to 5:30 PM, Monday to Friday. Occasional travel to our offices will be required for meetings. The Compliance Manager will be responsible for ensuring our organisation operates in accordance with the FCA regulations. This role will involve implementing compliance policies and procedures, conducting regular adviser audits, and supervising the quality assurance team.

Key Responsibilities:

• Training: Conduct compliance training sessions for advisers to enhance awareness and understanding of compliance obligations.
• Auditing and Monitoring: Perform regular adviser audits to assess adherence to policies and procedures. Identify areas of non-compliance and develop corrective action plans.
• Reporting: Prepare and submit compliance reports to senior management and regulatory authorities as required.
• Risk Assessment: Conduct risk assessments to identify potential compliance issues and develop strategies to mitigate risks.
• Investigations: Investigate compliance-related complaints and concerns, and recommend appropriate corrective actions. Manage general complaints handling.
• Documentation: Maintain accurate and complete records of compliance activities, including audit findings, resolutions, and actions taken.
• Stay Informed: Stay up-to-date with changes within the Financial Services and FCA regulations affecting the industry, and ensure organisational compliance.
• Team Management: Provide training and mentorship to a team of compliance assistants, ensuring their compliance with FCA guidelines. Conduct individual monthly performance reviews.

About You:

• You will have a positive, can-do approach.
• Exceptional organisational and time management skills.
• Possess a process-driven attitude to ensure a high quality of service and best practices.
• Detail-oriented with the ability to work to tight deadlines.
• Enjoy working collaboratively as part of a team.
• Outstanding verbal and written communication skills.
• Capable of managing and developing a team.

Essential:

• MUST HAVE MINIMUM CeMAP LEVEL 3.
• Team management experience.
• Strong understanding of FCA regulations.
• Excellent communication and interpersonal skills.
• Analytical mindset with strong problem-solving abilities.
• Attention to detail and a commitment to accuracy.
• Ability to work independently and as part of a team.

We Offer:

• 25 days holiday, including bank holidays.
• A positive, enjoyable, respectful, and motivated work environment.
• A team culture that promotes support and collaboration.
• Remote work opportunity.