Compliance Manager

Posted 05 December 2022
Salary Negotiable
Job type Contract
DisciplineProduct Management
Contact NameJona Aliaj

Job description

Compliance Manager

Start: ASAP (no long notice periods)

Length: 3 months, initially

Location: Remote/Kent (1-2 days if possible)

Rate: circa £400PD

IR35: Inside

Trinnovo Group have partnered with a reputable Financial Services client who provide support to over 10,000 charities, globally. They are in need of a skilled Compliance Manager with good all-round experience to come in and hit the ground running. You will need strong knowledge of FCA regulations and expectations.

You'll be supporting the Head of Risk while the Head of Compliance is on leave from January - April. The client would like to complete a handover period at the start of January, so we need someone who's immediately available to start a new project this side of Christmas. Long notice periods won't be possible unfortunately.

Banking experience is essential.

Key responsibilities:

  • Monitor the company through oversight to ensure adherence to its regulatory and legislative requirements and adherence to its internal policies, processes, procedures, and requirements.
  • Comply with the FCA and PRA conduct rules
  • Undertake deep dive assessments on key areas of concern (for example identified from compliance monitoring, significant regulatory focus, ongoing or a material incident, follow up to a red internal audit etc).
  • Oversee the management of 1st Line of Defence maintaining a Risk Management Register and implementing the Risk Management Process.
  • Responsible for overseeing regulatory advice and guidance to Senior Management and other colleagues across the bank and other business areas.
  • Provide and manage advice to the business on the regulatory compliance for new projects, annual reviews, marketing, and new products
  • Maintain Policy Approval Schedule to ensure all policies are reviewed in a timely manner by the document owners (including those owned by the Compliance team) liaising with risk to ensure business standards are clearly captured.
  • Ensure regulatory reporting is completed and submitted accurately (with four eye check) and within good time.
  • Ensure their registration and permissions remain appropriate for the activities it performs.
  • Oversee and support in the event of incidents, control breakdowns or ineffective control coverage, ensuring ownership by the business with resolution and notification to relevant authorities where appropriate.
  • To oversee the implementation and embedding of the conduct risk framework