** COMPLIANCE MANAGER NEWMARKET – £NEGOTIABLE DOE ** An exciting opportunity has arisen within a growing financial services company to work as a hands on Compliance Manager taking on the day to day management of the Compliance Function. The opportunity is based in Newmarket working hours to suit, offering free parking and an attractive salary to attract the best. The Compliance Manager will be responsible for assisting the Managing Director with the provision of compliance services within the business to ensure compliance with all legislation and to promote a culture of compliance throughout the business. Key responsibilities will be: • Provide guidance to staff on legislative and regulatory developments. • Provide advice and assistance to staff with the development, implementation and maintenance of compliant policies and procedures. • Carry out the assessment of the level of compliance with legislation, regulatory requirements and Codes of Practice. • Identify potential gaps and weaknesses and develop preventative and remedial measures. • Log and assist in the investigation and resolution of Customer complaints ensuring appropriate follow-up actions are carried out. • Assist in the adoption of best practice and procedures within the regulations of the Data Protection Act (DPA). • Reply to DPA subject access requests within the legislative timescales. • Liaise with the Head of HR to ensure mandatory regulatory training is provided at induction and ongoing as required for all staff as necessary. • Assist in the development, implementation and maintenance of the compliance monitoring programs. • Assist with the development, implementation and maintenance of systems and procedures to ensure compliance with the FCA’s principles on Treating Customers Fairly. • Assist in the review of new legislation, regulatory requirements and Codes of Practice and assess the impact of such changes on the business. • Assist in the establishment, maintenance and documentation of the Compliance Manual and other relevant manuals as required. • Maintain an up to date library of governance and compliance documentation and assist with the development and maintenance of an annual approval cycle for these documents. • Assist in the preparation of regulatory submissions. • Attend market / regulatory seminars and feedback relevant information to the Chief Legal and Compliance Officer. To be successful for this position you will have an understanding of UK regulatory requirements within the Financial Services industry and knowledge of the Data Protection Act. A good understanding of FCA handbooks and regulatory guides is also a must. It is essential that the successful applicant possess good experience within Financial Services and practical experience and knowledge of compliance monitoring activities.
Posted on: Fri, 31 Oct 2014 11:14:39 +0000
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