This is a fantastic opportunity to join a well-established, corporate finance organisation based in Slough. As Regional Compliance Manager you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework. There are no direct reports in this position. You will also be involved in providing regulatory support, carrying out intermediary visits, producing reports and ongoing feedback to the oversights manager.
This role is remote and is field-based (including South Wales, Midlands and East Anglia), and subsequently, there may be a requirement for travel, overnight stays and periods away from home.
Competitive salary plus excellent benefits, including company car and private health care.
Key accountabilities:
1. To verify that the regulatory requirements for on-boarding new customers are met as per the information received in the on-boarding pack and completion of the on-boarding compliance checklist; where any compliance issues arise, the Regional Compliance Manager will follow them up with the Account Manager.
2. To carry out on-site compliance audits on a risk-based approach in accordance with the plan as defined by the National Oversight Manager, including, a review of management information, customer files, systems, policies, and procedures, etc.
3. To draft compliance audit reports for each Intermediary, including the checks performed, outcomes, analysis, and acti...