A very established and growing firm are looking for an experienced Compliance Manager to be responsible for ensuring quality assurance and embedding firm wide compliance with SRA, FCA, anti-money laundering regulations and Data Protection legislation.
- Assisting the Head of Risk and Compliance in providing urgent technical advice to staff on queries regarding anti-money laundering, conflicts, data protection and other ad hoc compliance issues.
- Ensuring that monthly and quarterly audits are carried out in line with the compliance plan, policies, procedures and Lexcel standards.
- Conducting thematic audits to target areas of concern and areas such as client due diligence and source of funds.
- Overseeing the delivery of the monthly compliance report so that information is provided to the Compliance Board on key themes/trends.
- Working with Group Leaders/Team Leaders/ Supervisors to ensure there is effective supervision of matters and that matters which are High Risk are regularly monitored.
- Liaising with key stakeholders to ensure all information required by the Financial Conduct Authority is supplied within the set timescales and that Approved persons are compliant with obligations set by the FCA.
- Ensuring risks are escalated to the Head of Risk and Compliance or the Money Laundering Reporting Officer when appropriate.
- Overseeing the handling of complaints and ensuring they are responded to within set timescales.
- Ensuring relevant breaches registers are maintained and that incidents are reported, monitored and controlled.
- Assisting the Data Protection Officer with responding to requests to delete information and to provide information under the Data Protection Act and embedding high standards in relation to Data Protection.
- Driving forward improvements to processes to ensure that compliance supports the efficient delivery of services.
- Devising and delivering a training plan and providing regular bulletins and updates on key compliance issues.
- Ensuring that the impacts of legislative and regulatory changes are assessed and reported on.
- Experience of working in a compliance role either in an SRA or FCA environment.
- Experience in providing auditing and qualitative and quantitative management reports.
- Ability to work flexibly and quickly to respond to risks and compliance queries as they arise
- Positive communicator that speaks with authority
Salary: £30-£45,000 + Company bonus
Holiday: 25 days holiday (plus bank holidays), increasing to 30 with length of service
Benefits: Pension with current contributions at 3% employee and 4% employer. Private Medical Insurance, Life Assurance, Childcare vouchers, Healthcare cash back scheme, Rewards portal to access offers and savings on a huge range of goods and services from over 450 retailers. Free onsite car parking and onsite staff café, an active social committee who organise various events throughout the year.