Regional Compliance Manager
Posted 2 days ago
- Slough, Berkshire
- Any
- External
- Expires In 3 months
This is a fantastic opportunity to join a well-established, corporate finance organisation based in Slough. As Regional Compliance Manager you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework. There are no direct reports in this position. You will also be involved in providing regulatory support, carrying out intermediary visits, producing reports and ongoing feedback to the oversights manager.
This role is remote and is field-based (including South Wales, Midlands and East Anglia), and subsequently, there may be a requirement for travel, overnight stays and periods away from home.
Competitive salary plus excellent benefits, including company car and private health care.
Key accountabilities:
To verify that the regulatory requirements for on-boarding new customers are met as per the information received in the on-boarding pack and completion of the on-boarding compliance checklist; where any compliance issues arise, the Regional Compliance Manager will follow them up with the Account Manager.
To carry out on-site compliance audits on a risk-based approach in accordance with the plan as defined by the National Oversight Manager, including, a review of management information, customer files, systems, policies, and procedures, etc.
To draft compliance audit reports for each Intermediary, including the checks performed, outcomes, analysis, and action plan (where required); to archive all evidence and materials collected on-site in the compliance repository.
To discuss the final reports with the National Oversight Manager before sharing with the Group Compliance Manager and other parties
To perform follow up activities on the execution of the action plan.
To perform ad hoc audits where required by the Compliance Manager and the Senior Management Team
To monitor completion of regulatory training as part of the oversight activities.
To support the National Oversight Manager in the review of the mystery shopping
To Analysis data, carry out thematic views and report on findings to support the oversight visit plan.
To provide support in the on-going enhancement of the Compliance Dashboard and to periodically review the results and definition of action plan where required.
To liaise with the sales teams when conducting compliance audits
To suggest updates to the Intermediary Oversight Policy and On-boarding Procedure, following up on outcomes of field visits and compliance audits.
To keep appropriate records of all documents and materials collected on the field in the compliance repository.
Such other duties as the management may from time to time reasonably require.
Key requirements:
Educated to at least A level standard or equivalent.
In depth knowledge of retail and contract hire finance products ideal.
Good knowledge of regulatory regime(s) and the requirements and guidance issued by the regulatory bodies, including the Financial Conduct Authority and Information Commissioner's Office
Ability to translate said knowledge into suggestions and recommendations to adopt and comply with such changes.
Good working knowledge of Microsoft Excel, PowerPoint, Word and G-suite.
The ability to train groups of staff
Able to handle high conflict situations, to work under pressure and meet deadlines.
To evidence a practical and collaborative approach.
Previous experience in Compliance or Internal Audit roles is a must.
SAF Advanced qualification would be desirable.
Please do not hesitate to apply as we are actively recruiting for this position.
Please note that we will only contact those candidates that we assess as suitable for the positions we have currently available based on their experience, training, and skills. If we do not have anything suitable, we will not keep your CV for more than 30 days.
As an equal opportunity employer, Bucks and Berks Recruitment is committed to the equal treatment of all current and prospective employees and does not condone discrimination on the basis of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership. We aspire to have a diverse and inclusive workplace and strongly encourage suitably qualified applicants from a wide range of backgrounds to apply.
TPBN1_UKTJ
This role is remote and is field-based (including South Wales, Midlands and East Anglia), and subsequently, there may be a requirement for travel, overnight stays and periods away from home.
Competitive salary plus excellent benefits, including company car and private health care.
Key accountabilities:
To verify that the regulatory requirements for on-boarding new customers are met as per the information received in the on-boarding pack and completion of the on-boarding compliance checklist; where any compliance issues arise, the Regional Compliance Manager will follow them up with the Account Manager.
To carry out on-site compliance audits on a risk-based approach in accordance with the plan as defined by the National Oversight Manager, including, a review of management information, customer files, systems, policies, and procedures, etc.
To draft compliance audit reports for each Intermediary, including the checks performed, outcomes, analysis, and action plan (where required); to archive all evidence and materials collected on-site in the compliance repository.
To discuss the final reports with the National Oversight Manager before sharing with the Group Compliance Manager and other parties
To perform follow up activities on the execution of the action plan.
To perform ad hoc audits where required by the Compliance Manager and the Senior Management Team
To monitor completion of regulatory training as part of the oversight activities.
To support the National Oversight Manager in the review of the mystery shopping
To Analysis data, carry out thematic views and report on findings to support the oversight visit plan.
To provide support in the on-going enhancement of the Compliance Dashboard and to periodically review the results and definition of action plan where required.
To liaise with the sales teams when conducting compliance audits
To suggest updates to the Intermediary Oversight Policy and On-boarding Procedure, following up on outcomes of field visits and compliance audits.
To keep appropriate records of all documents and materials collected on the field in the compliance repository.
Such other duties as the management may from time to time reasonably require.
Key requirements:
Educated to at least A level standard or equivalent.
In depth knowledge of retail and contract hire finance products ideal.
Good knowledge of regulatory regime(s) and the requirements and guidance issued by the regulatory bodies, including the Financial Conduct Authority and Information Commissioner's Office
Ability to translate said knowledge into suggestions and recommendations to adopt and comply with such changes.
Good working knowledge of Microsoft Excel, PowerPoint, Word and G-suite.
The ability to train groups of staff
Able to handle high conflict situations, to work under pressure and meet deadlines.
To evidence a practical and collaborative approach.
Previous experience in Compliance or Internal Audit roles is a must.
SAF Advanced qualification would be desirable.
Please do not hesitate to apply as we are actively recruiting for this position.
Please note that we will only contact those candidates that we assess as suitable for the positions we have currently available based on their experience, training, and skills. If we do not have anything suitable, we will not keep your CV for more than 30 days.
As an equal opportunity employer, Bucks and Berks Recruitment is committed to the equal treatment of all current and prospective employees and does not condone discrimination on the basis of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership. We aspire to have a diverse and inclusive workplace and strongly encourage suitably qualified applicants from a wide range of backgrounds to apply.
TPBN1_UKTJ