nls new logo£45,000 - £55,000.

J2576 - Our client is seeking a Compliance Manager (12 month FTC) to ensure the company complies with all applicable regulation, industry standards and best practice, internal business code of conduct, local and applicable group policies and procedures. The key responsibility is to provide guidance to the business by developing good practice to mitigate risk. You will manage a small team. Salary: £45,000 - £55,000. Location: UK, Gtr London / Surrey

 

Job Reference: FLV/J2576
Job Title: J2576 - Compliance Manager - UK, Gtr London / Surrey - Asset Finance
Salary: £45,000 - £55,000
Location: UK, Gtr London / Surrey
Bonuses: n/a (12 mth FTC)
Benefits: n/a (12 mth FTC)
Job Function:  Sales & Marketing
Vacancy Type:  Contract
Asset Type / Sector: All Assets / Sector
Job Description :

J2576 - Our client is seeking a Compliance Manager (12 month FTC) to ensure the company complies with all applicable regulation, industry standards and best practice, internal business code of conduct, local and applicable group policies and procedures. The key responsibility is to provide guidance to the business by developing good practice to mitigate risk. You will manage a small team. Salary: £45,000 - £55,000. Location: UK, Gtr London / Surrey

KEY ACCOUNTABILITIES:

Support the compliance and risk team to embed a strong risk awareness and culture across the UK business.
Manage operational events and report all identified issues to reduce risk, engaging with all relevant part of the business.
Work closely with head office control team to understand group projects, and drive local implementations. E.g. Control library, outsourcing management, New Product committee.
Ensure compliance with Permanent Supervision requirements. Allocate PS controls to PS supervisors. Carry out PS controls allocated to the role. Report any anomalies to relevant departmental manager, ensuring corrective action is taken as appropriate.
Administer and execute company compliance regime, including the institution of appropriate monitoring of the required FCA regulated introducers.
Review and create applicable policies and procedures.
Ensure all risk and compliance reporting to Directors and head office is of high quality and submitted ahead of deadlines.
Undertake compliance work re any new regulation or new Business Channel.
Point of contact with the FCA responsible for ensuring the business is compliant with the requirements of the FCA.
Act as Data Protection Correspondent and ensure business is in compliance with Data Protection regulation.
Anti- Bribery and Corruption Officer as required by IBFS.
Monitor SGEF's compliance with FLA Business code. Interact with FLA over any issues arising out of business code or FCA regulation.
Oversee the delegation of work, career development and management of 2 Compliance Officers.

PERSON SPECIFICATION:

Excellent verbal and written communication skills.
Excellent interpersonal skills.
Methodical and has attention to detail.
Good time management and organisational skills.
Focused on providing excellent service to internal customers.
Ability to work under pressure and use own initiative.
Ability to identify and put forward new ideas for improvements.
A strong team player and manager of people.
Pro-active and willing to be flexible in work required.
Conscientious and open to suggestions/ideas.
Willingness to learn.
Act with integrity at all times and embrace the philosophy of treating customers fairly.
Embrace the values of the group leadership model.

We strongly favour applicants with proven relevant experience in Financial Services; particularly in Asset Finance and Leasing.

Consultant : Jane Theobald