Compliance Manager (Financial Services)

50000.00 - 70000.00 GBP Annual + GBP50000 - GBP70000/annum Excellent benefits
30 Aug 2017
27 Sep 2017
Contract Type
Full Time
Compliance Manager (Financial Services)

Location: Blackburn

Salary: 50-70k per annum - negotiable

Our client is a well established and continuously growing Financial Services business who are looking for a Compliance Manager to head up their compliance function. An exciting role that requires strong commercial and business acumen with strong interpersonal skills.

A fantastic salary and rewards package will be offered.

You will take the lead role to ensure that the systems and controls are in place to ensure that the company complies with the requirements of the FCA.

The role will include:-

- Continual development and implementation of systems and controls to ensure that advice is within the example guidance.

- Responsibility for delivering accurate, sound and timely compliance advice to the business and all staff in line with their risk appetite.

- Carry out internal statutory audits to ensure statutory compliance is in line with industry, health and safety, legislative regulations and contractual obligations.
- The review of all advisory reports which relate to high risk investments.
- Review of client feedback and dealing with complaints raised by clients in accordance with the FCA Complaints Handling rules.
- Review and approval of financial promotions material in accordance with FCA guidelines
- Liaison with the advisers regarding file reviews and addressing any findings arising from them.
- Provide general and case specific compliance support to advisers.
- Maintain training & competency schedule for all employees, ensuring staff attend relevant training programmes.
- Money-Laundering officer.
- Review data security policy.

Person fit:-

* A highly astute and commercially minded person with good working knowledge of UK compliance and regulation, in accordance to the FCA rules and EU handbooks.

* You must have a relevant qualification for the role.

* Strong interpersonal and communication skills are essential.

* Proven leadership and staff development skills.

Keywords: Asset Management, Banking, Wealth Management, Consumer Credit, Financial Crime, Money Laundering, Payment Services

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