Compliance Manager

Endurance Recruitment
Leamington Spa
£30,000 per annum
02 Aug 2017
18 Sep 2017
Contract Type
Full Time

A very established and growing firm are looking for an experienced Compliance Manager to join their growing team. The role will involve being responsible for regulatory compliance (FSA, OFCOM and CSA) compliance within the debt collection unit and assisting in embedding firm wide compliance with other regulatory requirements set by the Solicitors Regulation Authority, the Data Protection Act and the anti-money laundering regulations 2017.

We are looking for someone who has strong FCA experience. This is more of a client facing role looking at the needs of the clients and dealing with complaints. This role will be challenging internal incidences/issues and investigating, raising compliance standards and understanding as well as looking into audits and process to improve standards.

Job Responsibilities:

  • Ensuring that monthly compliance reports for the debt team and firm wide are clear and highlight areas of risk
  • Ensuring all information required by the Financial Conduct Authority is supplied within the set timescales and that Approved Persons are compliant with obligations set by the Financial Conduct Authority.
  • Carry out monitoring of all policies with the debt team to ensure they are meeting quality standards;
  • Calibrate calls for agents and make recommendations to address any areas of non-compliance;
  • Ensuring client due diligence checks within the debt collection unit for anti-money laundering purposes are recorded and up to date.
  • Maintaining the firmwide compliance plan and ensuring that targeted/themed audits are carried out in accordance with the plan.
  • Assist the Head of Risk and Compliance in responding to firm wide compliance queries received into the team.
  • Maintaining a data protection register for all breaches, request for information and requests to delete information and ensuring policies are data protection compliant;
  • Reviewing training material within the debt team to ensure it is up to date and reflects regulatory changes or requirements set by clients
  • Ensuring that the impacts of legislative and regulatory changes are assessed and implemented.

Person Specification:

  • Proven experience working within regulatory compliance.
  • Excellent knowledge of reporting procedures and record keeping
  • A business acumen partnered with a dedication to legality
  • Methodical and diligent with outstanding planning abilities
  • An analytical mind able to “see” the complexities of procedures and regulations
  • Excellent communication skills

Salary: £30-£45,000 + Company bonus

Holiday: 25 days holiday (plus bank holidays), increasing to 30 with length of service

Benefits: Pension with current contributions at 3% employee and 4% employer. Private Medical Insurance, Life Assurance, Childcare vouchers, Healthcare cash back scheme, Rewards portal to access offers and savings on a huge range of goods and services from over 450 retailers.

Free onsite car parking and onsite staff café, an active social committee who organise various events throughout the year.