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Senior Compliance Manager (Hybrid)

MERJE Ltd
Job LocationBirmingham
EducationNot Mentioned
Salary55,000 - 60,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Our client is a well-respected and long established listed business. Due to continued growth and expansion they are looking to recruit a Senior Compliance Manager for the firms Advisory team. Reporting to the Director of Compliance you will maintain a comprehensiveunderstanding of the FCAs requirements and standards, providing sound and authoritative compliance advice to the Company on all compliance matters affecting the business.Responsibilities:

  • Support the mitigation of regulatory and reputational risks faced by the firm and conduct risks faced by customers.
  • Maintain an appropriate audit trail of advice given in line with team procedures.
  • Support the business by assessing the scope and potential impact of regulatory change and, where necessary, undertake or provide support and consultancy services to any resultant change programmes. Drive change where required.
  • Create and issue bulletins to stakeholders on emerging regulatory issues in a timely and proactive manner.
  • Provide second line assurance to Compliance & Risk Management through reviews of internal files including, but not limited to, complaints, claims, financial promotions and T&C files.
  • Identify and produce reporting on activity, issues and emerging risks and business risks to the Compliance and Risk ManagementTeam in accordance with team procedures and as required.
  • To demonstrably maintain and enhance personal competence in line with theT&C Scheme.
  • Deliver additional accountabilities as delegated or required on an ad hoc basis.
  • Supporting the Director of ComplianceAdvice in ensuring reporting is prepared on a timely basis.
Requirements:
  • Proven track record in second line regulatory compliance experience, including experience in a business advisory role, or related discipline (e.g. audit) in Financial Services organisations operating at a senior level.
  • A strong understanding of a wide variety of business functions, including an appreciation of typical risks and expected controls.
  • Practical application of FCA Handbook and related approaches including but not limited to: ICOBS, TCF, Training & Competence, DISP, Approved Person Regime, SYSC and CONC.
  • Experience of reviewing financial promotions.
  • Communicating with senior stakeholders independently.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.If you would like this job advertisement in an alternative format, please contact MERJE directly.

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