My client requires an ambitious and talented COMPLIANCE MANAGER.
Key Responsibilities:
- work closely with internal stakeholders and consultants to ensure all credit broking activities operate in accordance with all legal and regulatory requirements
- approve financial promotions to ensure they are in line with regulatory requirements
- provide advice on FCA consumer credit requirements, including in the development of new business and product propositions.
- provide training to the business on all applicable FCA consumer credit regulation
- maintain up to date knowledge of relevant credit broking and insurance regulations
- assess regulatory change and emerging risks from regulatory sources, circulating key developments and action points to internal stakeholders
- report on the performance of Compliance practices and support the streamlining of existing processes within the business, providing ideas and identifying operational efficiencies
- lead on the oversight of the Appointed Representative network
- Highlight any instances of non-compliance within the business to the CEO so that a formal investigation can take place
- Manage one member of the Quality Assurance Team, ensuring improvements to the process are a focus point of their work, and reporting on performance where required
- Conduct regular audit work of the Compliance Function alongside external Compliance Consultants to test its standards and potential areas for improvement
Key Requirements:
- recent and relevant experience working in a Consumer Credit Firm (Credit Broker or Lender) regulated by the FCA, either in a Compliance or Legal function
- broad base of Compliance understanding
- numerate, articulate, analytical and competent with all Microsoft Packages
To express interest in this vacancy, please apply today or for more information, please contact Terry Wetters (Founder/Director): 07891 708 941 / terry@barleycorn.io