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To perform the day-to-day Second Line of Defence Regulatory Compliance activities across the whole of businesses activities, as well as certain risk activities as required, under the supervision of the CRO.
Client Details
Our client is a well-established player in the financial services industry, they are deeply committed to ensuring the utmost level of compliance in their operations and have a robust presence in Cheshire.
Description
The successful Compliance Manager will be responsible for;
Compliance Framework
- Maintenance of the Compliance Framework, within the context of the overall Risk Management Framework (RMF), to ensure it remains up-to-date and in line with good practice.
- Review of regulatory Key Risk Indicators to ensure these provide adequate coverage of key risks and that the thresholds are aligned with risk appetite.
- Ensure that compliance requirements are communicated across all parts of the business, are understood and are working effectively. This will include developing and rolling out effective training across the business.
Regulatory Engagement
- Provide day-to-day management of relationships with the FCA, under the supervision of the CRO.
- Manage engagement with the ICO, if and when required, in respect of Privacy and Data Protection
- Co-ordinate responses to regulatory requirements, developments and enquiries, ensuring that responses are adequate and delivered on a timely basis.
Regulatory And Government Compliance
- Perform 'horizon scanning' of regulatory developments, proactively identifying aspects that could impact and communicating these to management clearly and on a timely basis.
- Analyse and interpret existing regulations and regulatory developments, and the implications for, and communicating these clearly to management.
- Support management in developing compliant responses to regulations, ensuring these are adequate and proportionate.
Profile
A successful Compliance Manager should have:
- Educated to degree level and/or holds a relevant professional qualification
- Excellent up-to-date knowledge of relevant regulations and legislation
- Experience of liaison with the FCA and/or PRA
- Aptitude for working with government departments, ideally with understanding of the requirements of arms length bodies
- Good experience in the management of risk with particular focus on regulatory and legislative risks.
- Relevant experience in the Financial Services Industry, preferably with bigger businesses.
- Experience in analysing information and production of MI and reports for senior level stakeholders.
Job Offer
- An estimated salary range of £55,000 - £65,000 per year.
- A performance-based bonus scheme.
- A generous holiday leave allowance.
- A collaborative and supportive company culture.
We encourage all interested candidates who meet the criteria to apply for this exciting opportunity in the financial services sector.
