Financial Compliance Manager

Compliance Manager - this is a 50/50 split of Work from home and in office . Our client based in Bristol at Emersons Green near the junction of the M4 and M32 ( so commutable from Bristol ,Bath ,Chippenham, Swindon etc ) are experts in the Financial Compliance industry; focussing mainly on the Motor Trade and Travel . They have one of the UK's largest regulatory networks with many retail sites ( Network Members ) across the UK benefiting from a range of Finance and Insurance services.

By providing Appointed Representative status, they shoulder the burden of compliance ( of being Directly Authorised by the Financial Conduct Authority (FCA so their customers can concentrate on running their day to day businesses .

Purpose of the role:

• To support the Head of Compliance & Oversight by effectively managing the Compliance Department within the regulated/enhanced scope environment.
• To liaise with the HoC&O and undertake first line monitoring & support of Network Members ensuring Consumer Duty outcomes are the centre of focus.
• To identify Risk associated with Network Members and manage any risks in line with the team s Standard Operating Procedures.
• The Compliance Manager role is a certified role under the FCA s Senior Managers and Certification Regime.
• People Management experience would be essential as you will be line manager to 3 Team leaders .

Key Deliverables:

Ensure effective monitoring of Network members using agreed business assurance activities to identify, resolve and mitigate consumer risk.

Critical Competencies:

Manage customer/stakeholder relationships with a professional approach.

• Ensure non-compliance is correctly recorded and resolved.

• Be risk focused.

• Have excellent interpersonal skills.

• Readily accept responsibility for your work.

• Ensure work is completed to internal procedures and external regulatory requirements.

• Able to make good decisions by using information effectively and solve problems as they arise.

• Data analysis, including data manipulation.

• Experience with Report writing and producing Management Information.

• Understanding of Performance Management Practices.

• The ability to plan departmental resource, including trend analysis and forecasting.

• Self-disciplined with excellent time management.

• Possess attention to detail skills.

• Be highly motivated.

• Excellent communication skills, both written and verbal.

• Proficient with Microsoft Office suite, including MS Excel.

• The ability to prioritise and manage several different tasks at once.

• The ability to work effectively to deadlines.

• Ability to coach, support team members.

Desirable Skills and Experience:

• Understanding of the FCA s handbook requirements.

• Proven skills in managing a compliance focused team.

• At least 5 years experience in a commercial regulated environment.

• Understanding of the Motor and Travel industry sectors.

Other Significant Role Requirements:

• Comply at all times with the FCA s (and other applicable regulators) principles, commitments and codes of practice.

• To adhere to the ethos of the Consumer Duty in all work activity.

• Must achieve the minimum level of competency for the role relating to company, regulatory and legal standards, as defined by management.

• Ensure awareness of and adopt any changes in regulatory practice as advised by the HoC&O.

• Report all failures to comply with requirements immediately to the HoC&O.

Hours of work: The position is full time, permanent. 37.5 hrs per week. Mon-Fri. Core benefits include;

• Flexi-time: Employees can accrue a maximum of 2 days TOIL (time off in lieu) per calendar month.
• Holiday: 25 days per calendar year increasing to 28 days. (1 additional day per full year worked).
• Birthday: Birthday day off (following completion of a 6-month probationary period).
• Pension: Employer contributory pension of 3% (after 3-month deferment period). Employee contribution 5%.
• Health Care: Once an employee reaches 1 year of service, they will be entitled to join the company s private health care scheme.
• Holiday Buy Back: up to a maximum of 5 days are allowed per calendar year.
• Memberships: Relevant and agreed professional business-related memberships will be paid.
• Community/Charity work: Paid time off to do pre agreed community/charity work up to 5 days per year.

Training and Development

We pride ourselves on offering continuous training & development along with career progression opportunities for all employees. Appropriate training will be provided as the role demands ensuring the individual is set-up for success.

A truly diverse place to work

Co. celebrates the diversity of our people and we welcome applications from everyone. We believe that having a culture of inclusion is essential in delivering good results. Attracting, retaining, and developing a diverse workforce where employees feel valued, respected and empowered allows people to reach their full potential. As a business this diversity helps us to better reflect and understand our customers needs to allow us to drive better outcomes. As an organisation, we respect and adheres to Equal Opportunities legislation and the Equality Act 2010.

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