An exciting opportunity has arisen for an experienced Compliance Manager to join one of our valued banking clients based in the Midlands.
This would be an ideal move for someone who is looking to take on more responsibility and develop their career in Compliance.
Some of the key responsibilities are outlined below:
- Ensure relevant regulatory developments are identified in a timely way.
- Ensure regulatory developments are interpreted accurately and in a timely way and that appropriate actions are taken, engaging with the wider business as appropriate.
- Review financial promotions and key customer communications for compliance with applicable rules and guidance.
- Provide advice to the wider business on business initiatives and change from an FCA, FOS and data protection.
- Ensure that companies within the Bank maintain their regulatory authorisations, permissions and licences.
- Support the HR team in the management of approved persons, key function holders.
- Oversee the implementation of actions to ensure breaches are dealt with effectively.
- Ensure group policies and frameworks owned by Compliance are reviewed and maintained (Conduct, Fit and Proper, Corporate Gifts & Hospitality, Data Protection, Compliance Manual).
- Work with the business to promote a strong conduct and compliance culture.
- Collate and analyse data and assist in the preparation of reports.
- Give guidance on the content, contribute to the of regulatory training and development of materials and initiatives.
- Assist the Compliance Monitoring Manager, undertaking compliance monitoring reviews and thematic activity to ensure compliance with the FCAs rules.
To discuss this opportunity further, please contact Richard Miller.