Compliance Manager

West Malling
From £50,000 to £50,000 per annum plus benefits
13 Oct 2016
19 Oct 2016
Contract Type
Company Profile: Our client is a leading provider of fully integrated utility services, providing expertise and extensive knowledge to the UK’s largest construction projects. Duties: · The pro-active identification of risks that the business may fail to meet the standards defined or expected by the Board and FCA. This may be by any reasonable means, including but not limited to those below. · The delivery of an Advice Review function. · Provide formal oversight, manage and maintain the relationship between the firm and its chosen outsourcer of file reviews. · The ownership, design and delivery of a risk-based Compliance Audit programme including the management and supervision of thematic reviews. · Comply with all the FCA rules and principles requirements relevant to holding a compliance position within a directly regulated firm. · Design, maintain and Deliver a risk-based annual Compliance Monitoring Audit programme in accordance with the Compliance Plan. · Identify key underlying issues and root causes through precise, careful and unbiased investigations and propose appropriate risk mitigation actions. Provide well-written, succinct reports to the Compliance Director and Board on your findings and proposals for remediation · Ensure that a pro-active Compliance function operates that anticipates the businesses need for assurance, assesses risks and offers appropriate guidance. · Provide pro-active guidance and a robust response with regard to any identified trends arising from file reviews. Liaise sensitively with advisers and staff to facilitate the closure of failed routine monitoring file reviews. · Conduct past business reviews where required and provide the Compliance Director with progress summaries and final report. · Maintain data, records and files of the Compliance Team. Candidate Profile: · Proven track record working as a Compliance Manager · Experience of design and delivery of audit reviews · Experience of in-depth report writing · Knowledge of FCA handbook and principles for business. · Up to date with recent FCA and FOS precedents and standard industry practice. · Strong knowledge of products, across Investments, Pensions, Mortgages and Protection. · Strong understanding of TCF. This job was originally posted as