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Compliance Manager

Location: WIMBORNE, DORSET, UNITED KINGDOM Salary: 30,000-40,000 GBP (UK Pounds) Per annum, inc Benefits
Sector: Insurance Job Type: Permanent
Shift Type: N/A Applications: 2
Posted: about 2 months ago Reference: X3-357261

I am recruiting for a Compliance Manager to join my client in Dorset to support the Head of Risk and Compliance.. 

• Providing ongoing advice and support to internal teams on the interpretation and execution of regulation as they pertain to their working practices. 

• Providing support on all matters relating to financial crime.

• Contributing to the development and maintenance of the compliance monitoring plan.

• The completion of accurate and timely compliance monitoring in an unbiased and professional manner. Production of monitoring reports and following up monitoring actions to completion.

• Contributing to the development and maintenance of the Risk Framework and Risk Register with responsibility for the management of the Risk Register process.

• Managing the identification of all pertinent regulatory change impacting the business. Reviewing and assessing the impacts and supporting the business through to “business as usual”.

• The maintenance of policies and procedures, website disclosures, forms and training materials.

• Developing, maintaining and monitoring all Compliance policies and procedures, website disclosures / declarations.
• Assisting the Head of Risk and Compliance with the Development of the Compliance Monitoring Program to ensure the overall program is fully implemented, comprehensive and meets regulatory expectations.
• Completing monitoring reviews (internal and external), providing timely reports, including recommendations for corrective action or resolving deviations from established procedures. Agreeing any remedial actions required and tracking them to completion.
• Providing the Head of Risk and Compliance with a monthly summary of negative monitoring findings and / or systemic issues identified.
• Managing the tracking of all risk and compliance related issues.
• The tracking of Financial Crime data highlighted through the various monitoring tasks and reporting this to the Head of Risk and Compliance.
• Overseeing the firm’s anti-money laundering / financial crime risks (e.g. customer risk profiles), policies, processes and controls and carrying out relevant training.
• Evaluating reports of suspicious / unusual transactions and filing suspicious activity reports, as required.
• Providing input into the annual MLRO report.
• Managing the identification and logging of new / updated regulations and providing Impact and gap analyses to the business.
• Ensuring the business is implementing regulatory change (e.g. via projects, action plans, etc.).
• Ensuring that all FCA reporting is completed on time.
• Complaint handling.
• Monitoring of incidents and complaints including trend and root cause analysis.
• Assisting with the production of Management Information and compliance reports to the Board of Directors.
• Assisting with the oversight of the Risk Management Framework and the maintenance of the Risk Register.
• Managing the Risk Register process, following up with risk owners and identifying areas for escalation.
• Supporting the Head of Risk and Compliance with FCA communications, notifications and applications.
• Completion of Product Governance reviews.
• Maintaining Due Diligence standard responses and responding to requests.

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