W1siziisimnvbxbpbgvkx3rozw1lx2fzc2v0cy9lzw5uzwr5ugvhcmnll2pwzy9iyw5uzxitzgvmyxvsdc12mi5qcgcixv0

Compliance Manager

  • Location

    West End, London

  • Sector:

    Operations & Middle Office

  • Job type:

    Permanent

  • Salary:

    £60000 - £70000 per annum

  • Contact:

    Scott Duerden

  • Job ref:

    SDZCM01_1628857410

  • Published:

    about 1 month ago

Our client, a rapidly expanding Fintech based in the West End of London are looking to recruit a Compliance Manager. Ideal candidates will come from a Consumer Credit or Credit Cards background.

Main responsibilities of the Compliance Manager will include;

  • Develop a good understanding of the business, teams, roles, and culture of the business.
  • Maintain knowledge of regulatory compliance requirements and good industry practice.
  • Conduct thematic reviews, gap analysis and audits of various compliance focus areas, including financial promotions, vulnerable customers, treating customers fairly, responsible lending and other key areas relating to the industry.
  • Positively present key findings and recommendations for improvement to stakeholders.
  • Collaborate with business departments to promote a positive compliance culture.
  • Collaborate in ad hoc compliance projects, work closely with business stakeholders including product to ensure successful launch of product features in line with roadmap.
  • Review and approval of multi-channel promotional materials.
  • Assist in completing an annual review of the Compliance Monitoring framework.
  • Assist in delivering against agreed objectives in line with the Compliance Monitoring Plan.
  • Identify, report, and monitor risk indicators to support the development of a risk-based monitoring approach.
  • Maintain positive stakeholder relationships across the business to enable identified risks and issues to be communicated effectively and in a timely manner.
  • Creating and managing appropriate policies and staff training.
  • Carry out ad-hoc duties as directed.
  • Preparation and submission of FCA reporting.

To be considered for this position, ideal candidates must have the following experience and skills;

  • At least 3 years' experience in compliance, with an FCA regulated firm.
  • Degree in law, finance, business administration or related field.
  • Experience working within the consumer credit regulation framework and consumer credit related sourcebooks (e.g., CONC, DISP etc) and wider regulatory requirements (e.g., SMCR).
  • Sound knowledge of Data Protection and other related regulatory rules.
  • Outstanding interpersonal communication skills (written and verbal) and comfortable providing effective challenges whilst building strong, collaborative relationships.
  • Must be able to manage the ongoing interactions with relevant regulatory bodies including but not limited to the FCA.
  • Ability to recognise regulatory risks related to business decisions.
  • Ability to understand and interpret regulatory rules and guidance.
  • Excellent problem-solving ability.
  • Self-motivated, persistent, diligent, and enthusiastic.
  • Strong influencing and negotiation skills.

We are Social