Compliance Manager – St Albans

Compliance Manager, successful privately owned FCA regulated business, St Albans, to £65,000

Working for a dynamic and expanding financial services provider, offering excellent career development. The role of the Compliance Manager is to provide compliance and risk service, ensuring all requirements and regulations are met including FCA obligations, Data Protection, Fraud Prevention and measures, Consumer Duty Basic Principals and anti-money laundering.

As the Compliance Manager, you will be responsible for one other team member and the following remit:

• Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the mandatory requirements
• Provide Compliance and AML oversight and Data Protection  advice and guidance
• Contribute to regulatory returns being completed accurately and in a timely manner
• Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
• Ensure all day to day business as usual compliance breaches and complaints handling support is provided in a timely manner.
• Contribute to the Compliance Monitoring Plan in order to analyse the company’s compliance with regulatory requirements including FCA obligations, Data Protection, Fraud Prevention and measures, Consumer Duty Basic Principals and anti-money laundering.
• Contribute to and maintain the company’s Breach Register, ensuring Breaches are reported and completed to a high standard and within the agreed SLAs.

Experience Required

• Minimum of 5 years’ experience in Financial Services, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector
• Appropriate qualifications in financial services
• Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally
• Display sound and proportionate judgement, as well as a commercial outlook
• Awareness of the FCA handbook and data protection