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Compliance Manager
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Compliance Manager
A growing and established financial services business is looking to appoint an experienced Compliance Manager to join its team and play a key role in maintaining and developing an effective compliance framework.
Reporting directly to the Head of Legal & Compliance, this is a broad and hands-on role for a compliance professional who enjoys working closely with the wider business and wants genuine involvement in regulatory risk, financial crime, FCA requirements and the development of a strong compliance culture.
The successful candidate will have the opportunity to make a real impact, providing practical advice to colleagues while ensuring the business continues to meet its regulatory obligations as it develops its products, services and systems.
The role will include:
- Supporting the Head of Legal & Compliance in delivering the compliance plan and developing a strong compliance culture across the business.
- Identifying, monitoring and mitigating regulatory risk, ensuring issues and breaches are appropriately investigated, recorded and managed.
- Advising operational teams on regulatory and compliance matters and helping to develop and maintain effective policies and procedures.
- Managing and supporting FCA reporting, CASS/client money requirements and arrears monitoring.
- Assisting with the timely completion and submission of regulatory returns.
- Preparing reports for the Board covering regulatory developments, compliance monitoring, significant issues and the effectiveness of the firm's compliance arrangements.
- Providing compliance input at an early stage into new products, services and systems.
- Undertaking regular compliance monitoring to assess the effectiveness of policies, procedures and controls.
- Taking responsibility for the Money Laundering Reporting Officer (MLRO) function, including the identification, assessment and management of financial crime risks and investigation of suspicious activity.
- Delivering training to employees on areas including financial crime, financial promotions and other key compliance matters.
- Ensuring appropriate records and case files are maintained in line with regulatory, legal and business requirements.
- Supporting the business in maintaining compliance with FCA requirements, GDPR and wider financial services regulation.
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What are they looking for?
The business is looking for an experienced compliance professional with at least five years' experience in a similar role, ideally gained within financial services.
Candidates are likely to have experience of working with retail or consumer-facing clients and, importantly, within a business authorised to hold client money.
A strong working knowledge of the FCA Handbook is essential, together with practical experience across areas such as:
- Anti-Money Laundering and financial crime
- Consumer Duty and Treating Customers Fairly
- COBS
- Financial promotions
- Complaints handling / DISP
- Client Money / CASS
- FCA regulatory reporting
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Experience within peer-to-peer lending, crowdfunding or another specialist lending environment would be advantageous, although it is not essential. Equally, experience gained within a bank, mortgage lender, broker or other regulated financial services organisation will be considered.
A recognised compliance qualification would be beneficial but is not essential. The successful candidate will also need to be comfortable working with Microsoft Word and Excel.
The person
This is a role for someone who combines strong technical compliance knowledge with a pragmatic and commercial approach.
The successful candidate will be confident challenging the business when necessary, but equally comfortable working collaboratively with colleagues to find practical solutions. They will be organised, analytical and able to communicate complex regulatory matters clearly to people across the organisation.
The business places significant importance on fairness, openness, loyalty, teamwork and taking initiative, and is looking for someone who shares those principles.
The opportunity
This is an excellent opportunity for an experienced compliance professional to join a successful and growing financial services business in a role offering real breadth, responsibility and visibility across the organisation.
Interested?
Redland Search is managing this appointment on behalf of the business. For a confidential conversation about the role, please get in touch.
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