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Compliance Manager - UKSS

Equiniti
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time Work from home

Job Description

Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 6000 employees, it supports 37 million people in 120 countries.EQs vision is to be the leading global share registrar, offering complementary services to its client base and our values set the core foundations to our success. We are TRUSTED to deliver on our commitments, COMMERCIAL in building long term value, COLLABORATIVE in our approach and we IMPROVE by continually enhancing our skills and services. There has never been a better time to join EQ.Role Summary Responsible for developing and maintaining a framework to ensure that the division remains compliant with regulatory/industry requirements. Regulations in this context extend to the Financial Conduct Authority (FCA) handbooks, Tax Authorities and regulationspublished by some of the industry services utilised e.g. BACS, PCI Compliance. The role covers the regulated entities with UKSS; Equiniti Financial Services Limited (EFSL) and Equiniti Global Payments Limited (EGPL). The role excludes specific focus relatedto the FCA CASS Handbook, which is covered independently by the CASS Office.Core Duties/Responsibilities

  • Embed and maintain a framework for evidencing regulatory compliance, including overseeing a framework for capture and tracking of regulatory breaches.
  • Develop and maintain an MI and reporting framework so that compliance within areas of responsibility can be controlled and evidenced, and where appropriate, issues escalated to senior management.
  • Develop and maintain relevant control policies, procedures and reporting for use within the business, as agreed with line manager. Procedures should set out the purpose and context of the task, as well as the actual process steps.
  • Undertake Second Line Assurance reviews of key areas/processes, as agreed with line manager and track resolution of any action arising.
  • Lead, motivate, develop, and appraise team members, co-ordinating their ongoing training and development in order that their individual and collective performance is of the required standard.
  • Develop and maintain effective working relationships both within the team and across the Group. Act as a point of reference in respect of regulatory matters.
  • Assess regulatory/industry technical documentation to define the compliance impacts on EFSL and EGPL; documenting findings and recommendation for line management.
  • Review and approve a range of customer documentation, ranging from terms and conditions to financial promotions, ensuring that it is compliant from a regulatory perspective.
Skills, Capabilities and Attributes The successful candidate will demonstrate the following experience, skills and behaviours:
  • Track record of working within a regulated environment
  • Self organisation
  • Self motivation
  • Ability to learn new tasks with minimal supervision
  • Ability to plan tasks and keep to timescales
  • Ability to identify system/process improvements
  • Good communication skills (both written and oral)
What We OfferSave For Your Future - Equiniti Pension Plan; Equiniti matches your pension contributions up to 10%All Employee Long Term Incentive Plan (LTIP) - Gives all EQ Colleagues the opportunity to benefit if the current owners successfully sell the company for a profit.Health and Wellbeing - Employee Assistance Programme: counselling, legal & wellbeing support for colleagues and their households. Life assurance cover at 4x salary with the ability to purchase enhance cover.Employee discounts - Discounts and cashback at your favourite high street stores through our EQ Wins Platform.Flexible Benefits - The ability to purchase a wide variety of benefits through our flex plan; gadgets, travel insurance, will writing, holiday trading and more.Time Off - Typically 28 days holiday + bank holidays. 2 volunteer days to get involved with a charity of your choosing.Winning together - Equiniti ICON award vouchers; recognising the individuals going above and beyond to help the business succeed.We are committed to equality of opportunity for all staff and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief and marriage andcivil partnerships. Please note any offer of employment is subject to satisfactory pre-employment screening checks. These consist of 5 year activity & GAP verification, DBS or Access NI, Credit, Sanctions & CIFAS checks

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