Job Description
THE COMPANY:
Our client is a boutique financial services firm based in St Albans, seeking a Compliance Manager on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.
THE RESPONSIBILITIES:
1. Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the mandatory requirements
2. Provide Compliance and AML oversight and Data Protection advice and guidance
3. Contribute to regulatory returns being completed accurately and in a timely manner
4. Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
5. Ensure all day to day business as usual compliance breaches and complaints handling support is provided in a timely manner.
6. Act as a second line defence to identify and monitor risks and provide a feedback loop to Head of Compliance & Risk and the Operational Practice of the business
7. Provide ad hoc compliance training and coaching
8. 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 D...