Compliance Manager

Location: Swindon, Wiltshire
Job Type: Permanent
Salary: Up to £55000.00 per annum
Reference: BBBH1399_1597227602
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gap professional are operating as an employment agency on behalf of its client.
Compliance Manager
Location: Flexible remote working with a minimum of 1 day per week in Chippenham
Hours of work: 9.00am-5.30pm Monday to Friday
Salary: £45,000 - £55,000 DOE

We are currently seeking an experienced and enthusiastic Compliance Manager to join our clients Senior Management Team (SMT). The main priority for this role is to ensure that the company's continued compliance on policies and rules that are in line with their regulatory body; The Financial Conduct Authority and other wider legislation such as GDPR.
The company is undergoing a phase of rapid growth where the right candidate will be afforded a chance to make a mark and be a significant part of the company's development.
This role will be the expert in providing regulatory advice and guidance on all aspects of Compliance to the rest of the business.
Key Responsibilities:

  • Acting as a key point of contact for compliance and conduct risk issues. Provide advice and guidance at a strategic level in the development and review of processes and procedures to ensure effective compliance in line with FCA and other regulatory requirements.
  • Assist in identifying, analysing and monitoring regulatory change that could impact the firm and its clients
  • Over view and orchestration of all policies that fall within the Compliance remit.
  • Review and maintain the current Compliance framework and ensure it is effective and provide challenge accordingly
  • Follow up on non-conformities through to resolution, including a robust escalation process for highlighting and running non-adherence via the Senior Management Team
  • Evaluate the adequacy and effectiveness of internal regulatory risk controls and recommend improvements to the business, including identification of potential risks or gaps
  • Drive a robust compliance culture across the businesses working closely with senior leadership teams
  • Link in with the Training Manager to co-ordinate compliance training and coaching across the business.
  • Manage and maintain the compliance monitoring programme plan.
  • Ensure that all regulatory and legal reports (including, but not limited to, FCA Returns) are prepared and sent on a timely basis.
  • Conduct data protection information audit and impact assessments
  • Maintain a record of all data processing activities and categories of data
  • Oversee the approach to anti-money laundering and counter terrorism financing
  • Lead on the Senior Manager and Certified Person Regime and horizon scanning for all other compliance and FCA initiatives



Experience, attributes & skills sought:

  • Degree in Law, Economics, Finance or a relevant field or Compliance Qualification equivalent to degree level.
  • A minimum of 3 years proven experience of working in an FCA regulated environment as a Compliance Manager or similar position, preferably in General Insurance, with the ability to manage and influence business partners.
  • An excellent knowledge and understanding of relevant regulations and conduct risk management principles.
  • Self-starter: ability to take initiative and develop their own ideas and see through to completion.
  • Good Communication skills - ability to interact with senior management team to promote good behaviours throughout organisation
  • Ability to identify and investigate areas of potential regulatory risk and forward plan to mitigate potential risk.
  • Proven organisational and planning skills
  • Can do attitude and thrives on challenges.
  • An analytical mind-set with excellent organisational skills.
  • Working knowledge and understanding of Conduct Risk, TCF and experience of wider legislative and regulatory environments i.e. GDPR/DP.



Closing date is 12th September 2020
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gap professional are committed to the selection, recruitment and development of the best people, basing judgements solely on suitability for the job. Whilst we endeavour to respond to all applications individually, due to high volumes, this is not always possible. Thank you for your interest in this role and we look forward to working with you in the future