Compliance Manager

55000.00 - 60000.00 GBP Annual + GBP55000 - GBP60000/annum
14 Jun 2017
22 Jun 2017
Contract Type
Full Time
Our client, an established and highly reputable financial services organisation require a Compliance Manager to assist the Senior Compliance Manager and to supervise the activities performed by the Compliance Financial Promotions Officer.

Your key duties would be to:

* Ensure the FCA's Conduct requirements, in particular with reference to Investor Outcomes, are considered in all aspects of the work performed.
* Supervision & development of the Compliance Financial Promotions Officer role that primarily undertakes the financial promotions reviews.
* Provide accurate, timely and informative advice to the business on regulatory matters and queries.
* Act as the alternate for the Senior Compliance Manager, including pertinent committee meeting attendance and new product initiative discussions.
* Responsible for the review & sign off of literature and other marketing material against the FCA's Financial Promotions rules and ensure the quality and clarity of literature supports Investor Outcomes.
* Responsible for the review & sign off of adviser facing material to ensure it is fair, clear and not misleading.
Review of breach reports to ensure accurate, complete, and adequacy of remedial action proposed plus identifying whether the breach should be classified as reportable to the FCA or other regulatory bodies.
* Regulatory Horizon Scanning - monitoring for, summarising and tracking the implementation of applicable regulatory developments that will impact the businesses
* Development & drafting of new compliance policies and the review/ updating of existing policies in line with group policies and regulatory requirements.

Required experience and knowledge:

* Good working knowledge of relevant FCA, JFSC, HMRC, HMT, FOS, TPR, CIOS, TPA, JMLSG, ICO, ASA rules & guidance
* Experience of acting in a senior compliance advisory capacity including experience of reviewing financial promotions.
* Current knowledge of pensions
* Knowledge of SSAS and associated TPR regulatory requirements
* Detailed knowledge of the FCA Handbook - in particular COBS and CASS

If you are interested in this Compliance Manager position and have the relevant skills and experience then please apply now

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