Compliance Manager - SalesOffice based with travel requiredDriver's License requiredBased in Hinckley
Job Purpose:
The Compliance Manager will be responsible for assessing risks, identifying patterns and trends, and managing overall compliance operations within the company. This includes conducting internal audits, implementing compliance measures, and ensuring adherence to regulatory standards.
Job Overview:
As a Compliance Manager, you will handle various compliance-related issues, focusing on assessing risks and maintaining regulatory standards across the company. This role will involve ensuring that sales processes are compliant, conducting quality assessments, and managing the company's compliance certifications within a FCA regulated environment. You will work closely with senior management and directors to monitor compliance controls and drive improvements in compliance management.
Key Responsibilities:
1. Analyse the full sales process to ensure adherence to best practices and regulatory expectations.
2. Conduct quality and compliance assessments of Business Development Managers and Field/Office-Based Consultants.
3. Oversee the quality assessment process across both field and office-based sales teams.
4. Lead compliance investigations, identifying themes and trends to mitigate risks.
5. Implement and monitor compliance controls, in...