Compliance Manager

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Experienced Compliance Manager / Policy / Monitoring / Birmingham / Competitive Salary / Permanent

Role

In the position of Compliance Manager, you will support the senior management by offering them advice at an operational level, to help the client company combat against financial crime and prevent against data fraud. This will be completed to in accordance to strict deadlines; here you will be submitting accurate and complete information to the senior management team. You will also be working and advising in compliance with the Financial Conduct Authority's (FCA) codes of conduct and regulations.

It is within the remit of the Compliance Manager to uphold, and ensure high standards of conduct - both external and internal regulations.

Responsibilities

*Ensure relevant regulatory developments are identified in a timely way.

*Ensure regulatory developments are interpreted accurately and in a timely way and that appropriate actions are taken, engaging with the wider business as appropriate.

*Review financial promotions and key customer communications for compliance with applicable rules and guidance.

*Provide advice to the wider business on business initiatives and change from an FCA, FOS and data protection.

*Ensure that companies within the Bank maintain their regulatory authorisations, permissions and licences.

*Support the HR team in the management of approved persons, key function holders.

*Oversee the implementation of actions to ensure breaches are dealt with effectively.

*Ensure group policies and frameworks owned by Compliance are reviewed and maintained (Conduct, Fit and Proper, Corporate Gifts & Hospitality, Data Protection, Compliance Manual).

*Work with the business to promote a strong conduct and compliance culture.

*Collate and analyse data and assist in the preparation of reports.

*Give guidance on the content, contribute to the of regulatory training and development of materials and initiatives.

*Assist the Compliance Monitoring Manager, undertaking compliance monitoring reviews and thematic activity to ensure compliance with the FCAs rules.

Requirements

*A relevant graduate-level qualification.

*Detailed knowledge of the workings of the FCA.

*Knowledge of data protection and financial crime.

*Experience in representing a Compliance Department.

*A QCF4 or equivalent.

*Provable management and coaching skills.

*Proven experience of working previously as a Compliance Manager - specialising in monitoring and/or policy.

Spring Technology is acting as an Employment Business in relation to this vacancy.

Spring Technology is an Equal Opportunities employer; we welcome applicants from all backgrounds.