Compliance Manager

My client is looking for a Compliance Manager to join the team. My client provides Funeral services throughout the UK and is a forerunner in this sector. 

Job Purpose. 

To manage My client's relationship with the FCA, ensuring that compliance is maintained at all times. To be the Primary Contact with the FCA as the dedicated compliance resource within the business. That internal and external reporting is undertaken as required, and that any queries are addressed in a prompt and timely manner.

Key Responsibilities

Regulatory compliance management within the business; coordinating and developing the compliance monitoring calendar and internal deliverables across the regulated businesses

Designing and maintaining the Compliance Monitoring Programme (CMP)

Monitoring, and recording the results of the CMP and overall the businesses compliance with FCA Rules

Ensuring the business complies with FPCOB and ICOB permissions

Submitting Regulatory Returns, including Quarterly and/or Annual Financial Returns and other reports to FCA, within the prescribed deadlines, and the gathering of internal information in response to regulatory requests

Ensure that appropriate management information (MI) is available to enable the board to exercise appropriate regulatory controls of the business

Managing the relationship with the FCA effectively

Handling FCA related compliance queries

Recommending and initiating changes to systems, controls and procedures in response to FCA Rule changes, so far as they affect us

Reading, and understanding the implications of, FCA Consultation Documents, Policy Notices, Notices of Disciplinary Action, Regulatory Updates and other publications etc

Designing and maintaining the Compliance Policies and Procedures Manual ensuring that it is up-to-date at all times

Ensure the firm has adequate leading and lagging indicators of fair treatment of customers which are measured, monitored and reviewed regularly

Perform risk assessments to understand risk level, significance and scope, where appropriate making recommendations

Organising the meetings and the reporting to the Internal Compliance Committee (ICC)

Contribute to robust and effective compliance controls within the business

Obtaining pre-approval from FCA for clearance events and making pre- and post- notifications to FCA of notification events, within the prescribed deadlines and in the prescribed manner

Reviewing and approving all non-real time financial promotions and published recommendations prior to their issue by, or in the name of, the business

Ensure Consumer Duty regulations are understood and implemented

Undertaking and advising on compliance oversight on product changes

Work collaboratively across the business including but not limited to – Sales, Marketing, IT and Finance

Continually look to enhance processes and systems for effectiveness and efficiency

Lead the compliance team ensuring resources are appropriately managed and deployed

Key Competencies

• Strong attention to detail
• Good communication skills
• Client focus
• Self-management
• Team working
• Achievement focus
• Adaptability
• Problem solving
• Integrity, sensitivity and commitment

Person Specification

• A minimum of 5 years’ experience working as a Compliance Officer in a regulatory compliance function
• High level of IT skills to include Microsoft Excel and Word.
• Committed to the provision of excellent service with excellent organisational skills
• Good numeric and literacy skills
• Strong reasoning ability
• Strong sense of ethics and good judgement

This is a work from home position. 

Apply now.