Job Title: Compliance Manager
Location: Hybrid based in Skipton (min of once a week in the office)
Salary: Up to £65,000
Vacancy Type: 6-9 month Fixed term contract covering maternity leave
- 11% non-contributory pension
- Private healthcare – family cover
- Life Cover 4 x salary
- Income protection
- 28 days holiday
- Up to 30% discretionary bonus
Hours: Monday to Friday 9am to 5.30 pm
About the role of Compliance Manager
We have a new vacancy to cover maternity leave managing a small team of 3 as a Compliance Manager. Working for a financial services business, you will be responsible for the management, oversight and governance of Compliance activity to provide assurance that our client is complying with regulatory rules and expectations, including outsourced servicing operations and adhering to legislative and regulatory requirements.
Responsibilities for the role of Compliance Manager
- Set the overarching Compliance Monitoring framework and plan for the outsourced servicing activities.
- Set the annual Compliance Monitoring Plan for the business and ensure that monitoring tasks are carried out according to plan.
- Attend internal/ external/ committee meetings to ensure outsourced servicing commitments meet contractual and regulatory requirements.
- Complete internal/external reporting requirements.
- Improve and develop Compliance reporting, to deliver robust and well-informed MI.
- Provide oversight and approval of the Compliance Monitoring reviews and advisory work, ensuring work is undertaken in line with the Compliance Manual and Methodology.
- Keep abreast of all prevailing and pending regulatory and legislative requirements and oversee the horizon scanning process to ensure management and staff are fully informed.
- Overseeing the provision of accurate and timely regulatory advice to the business and ensuring that sufficient logs are maintained.
- Assist the Senior Regulatory Relations Manager to enable the provision of accurate data and updates to the FCA, and to ensure that the business is complying with applicable Data Protection Legislation.
- Continuously review Compliance’s policies, procedures and operational practices
- Maintain compliance and regulatory risks within the central risk register and manage effective and suitable controls, producing an annual compliance risk assessment as part of the annual compliance planning process.
- Manage, support and direct the daily activities and development of staff within the Compliance Team.
- Perform and support the team to perform an advisory role, including the provision of assurance in respect of regulatory-driven projects.
- Oversee the adequacy of regulatory compliance training programmes and coordinate the provision of specific staff training on compliance-related matters where required.
- Ensure compliance with relevant data protection requirements when dealing with personal data, making sure information remains accurate, is stored correctly, and is appropriately protected.
- Support the Head of Compliance & Regulatory Relations.
Experience required for the position of Compliance Manager
- Cemap level 3 or ICA certificate in Compliance
- Compliance Management experience gained with a regulated financial services business – preference will be given to candidates with mortgage sector exposure
- Strong presentation skills
- Driven to provide the right outcome for the customer
- Up-to-date knowledge of FCA regulation specifically conduct risk, TCF, MCOB, DISP, SUP and GDPR/DPA requirements
For more information regarding the role of Compliance Manager please contact us
Stellar Select is acting as an employment agency and is a corporate member of the REC
Due to a high volume of applications, we will only contact you if your application has been successful. We aim to contact all successful contacts within two business days