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Compliance Manager

NLB Solutions
Posted 16 days ago, valid for 11 days
Location

St. Albans, Hertfordshire AL3 6JZ, England

Salary

£40,000 - £70,000 per annum

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Contract type

Full Time

In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.

Sonic Summary

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  • NLB Solutions is seeking a Compliance Manager for a financial services business, reporting directly to the CFO and managing a small team.
  • The role requires a minimum of 5 years of experience in Financial Services, with at least 3 years in Compliance, preferably in the Investment and Life Protection sectors.
  • The Compliance Manager will ensure adherence to regulatory requirements, provide oversight on Compliance and AML, and contribute to regulatory returns and the Compliance Monitoring Plan.
  • The company offers a supportive management team, hybrid working patterns, and an opportunity to work within a well-established business with strong commercial ties.
  • Salary details are not specified in the job description, but appropriate qualifications and good interpersonal skills are essential for the role.

NLB Solutions are working with a financial services business in the search for a Compliance Manager. The successful candidate will report directly to the CFO and manage a small team. You will be responsible to provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements, must have 5 years’ experience within Financial Services.

With great offices and hybrid working patterns, the company offer someone the opportunity to join a well establish business that has great commercial ties with large businesses and an excellent reputation. The role is pivotal to the success of the business and so there is a supportive management team to help drive the role forward.

Duties:

  • Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the mandatory requirements
  • Provide Compliance and AML oversight and Data Protection advice and guidance
  • Contribute to regulatory returns being completed accurately and in a timely manner
  • Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
  • Ensure all day to day business as usual compliance breaches and complaints handling support is provided in a timely manner.
  • Act as a second line defence to identify and monitor risks and provide a feedback loop to Head of Compliance & Risk and the Operational Practice of the business
  • Provide ad hoc compliance training and coaching
  • Contribute to the Compliance Monitoring Plan in order to analyse the company’s compliance with regulatory requirements including FCA obligations, Data Protection, Fraud Prevention and measures, Consumer Duty Basic Principals and anti-money laundering
  • Contribute to and maintain the companies Breach Register, ensuring Breaches are reported and completed to a high standard and within the agreed SLAs
  • Analyse the causes of regulatory and procedural breaches and ensure that practical remedial actions have been taken to mitigate against future occurrence
  • Escalate any ISO security risk within the business
  • Implement controls, document procedures and complete risk assessment reviews as required
  • Ensure that any Compliance security breaches are completed within 24 hours as per the procedures

Person Spec:

  • Minimum of 5 years’ experience in Financial Services, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector
  • Appropriate qualifications in financial services
  • Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally
  • Display a commercial outlook
  • Awareness of the FCA handbook and data protection

Apply now in a few quick clicks

In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.