Description
Compliance Manager - Financial Services
We are currently looking to recruit a compliance manager to provide support and guidance, including recommendations on policy and strategy to the Bank in relation to compliance with the FCA's principles, rules and guidance, relevant regulatory requirements, FCA and conduct related matters.
Compliance Manager Responsibilities;
- Leading on a review to develop and enhance the banks approach to conflict of interest, the role holder will be supporting this.
- This role is intended to support the manager in this review including policy drafting/review, production of practical/compliant procedures/policies to enhance COI approach and interaction with key stakeholders to ensure that the approach is Embedded across the organisation.
- Monitors regulatory changes and informs appropriate Bank staff of pending changes and deadlines.
- Support the design, production and refresh of the compliance monitoring universe and the determination of plans to deliver appropriate assurance.
Compliance Manager Skills/Experience;
- To be considered for this role you must have a thorough understanding of retail banking and experience operating at a senior level within a compliance or conduct team.
- Had interaction with the FCA.
- Experience of developing or operating a conflicts of interest policy within the financial services
- It is essential that you have CEMAP or FPC qualifications and preferably a degree in Business or Finance.
- Relevant and extensive FCA financial services compliance experience, including knowledge and awareness of the requirements of the FCA rules and guidance, insurance company products, the Data Protection Act and associated guidance, product administration processes and outsourced service arrangements.