Compliance Manager

CORA Search; Gateshead; In loco; GBP 45.000 - 65.000; Tempo pieno

Vantaggi offerti da questo lavoro

25 days holiday + bank holidays

Descrizione del lavoro

CORA Search in Gateshead is seeking a senior compliance professional to join our FCA-regulated financial services team. You will work with the Head of Compliance and Audit to maintain a risk-based framework and provide day-to-day leadership and advice across the business.

Key duties include handling regulatory breaches, complaints investigations under DISP, implementing the Consumer Duty, delivering monitoring plans, and producing monthly MI for governance forums. Office-based, 9am-5pm.

Competenze

• Substantial experience in a compliance, risk, governance or audit role within an FCA-regulated financial services business.
• A track record of running monitoring or assurance reviews, managing issues to closure and producing management information.
• Good working knowledge of PRIN and the Consumer Duty, SYSC, ICOBS, PROD, DISP, SUP, CASS 5, SM&CR and the FCA Conduct Rules.
• Strong investigation, analysis and judgement, with the ability to turn complex requirements into proportionate controls and practical advice.
• Clear written communication for reports and customer correspondence, and the confidence to influence and challenge at all levels.
• Experience supervising, coaching or coordinating the work of others.
• Desirable: a Cert CII, Dip CII or ICA qualification (or working towards one), experience overseeing appointed representatives, and a general insurance or pure protection background.

Mansioni

• Identify, investigate, record and escalate regulatory breaches, conduct issues, control failures and material risks.
• Manage complaint investigations in line with DISP, including final response letters, redress, root-cause analysis and MI.
• Support implementation and monitoring of the Consumer Duty across products and services.
• Deliver a risk-based compliance monitoring plan, including thematic reviews and audits.
• Act as key compliance contact for appointed representatives and support onboarding, due diligence and reviews.
• Provide clear, practical compliance advice and challenge to senior management and teams.
• Maintain compliance policies, procedures and records in line with the FCA Handbook.
• Produce monthly MI and reports on breaches, complaints, monitoring outcomes and risks.

Conoscenze

Regulatory compliance

Risk management

Investigation

Communication

Coaching/mentoring

MS Word

MS Excel

MS Outlook

Formazione

Cert CII

Dip CII

ICA qualification

Strumenti

Microsoft Word

Microsoft Excel

Microsoft Outlook

Descrizione del lavoro

FCA-regulated financial services business operating in the general insurance and protection market, supported by a network of appointed representatives. With a strong focus on good customer outcomes and the Consumer Duty.

Working closely with the Head of Compliance and Audit, you will help maintain an effective, risk-based compliance framework and provide day-to-day compliance leadership and advice across the business.

Key responsibilities

• Identifying, investigating, recording and escalating regulatory breaches, conduct issues, control failures and other material risks, and supporting any regulatory notifications.
• Managing complaint investigations in line with DISP, including final response letters, redress, root-cause analysis and management information.
• Supporting implementation and monitoring of the Consumer Duty across products and services, price and value, consumer understanding and consumer support, with appropriate consideration of vulnerable customers.
• Delivering a risk-based compliance monitoring plan, including thematic reviews, file audits, control testing and follow-up of remedial actions.
• Acting as a key compliance contact for appointed representatives and supporting their onboarding, due diligence, annual reviews, monitoring and, where needed, termination.
• Giving clear, practical compliance advice and constructive challenge to senior management, business teams and appointed representatives.
• Maintaining compliance policies, procedures, registers and records in line with the FCA Handbook.
• Producing monthly compliance MI and reports on breaches, complaints, monitoring outcomes, key risk indicators and emerging risks, and presenting findings to senior management and governance forums.
• Supporting SM&CR governance, financial crime risk management (fraud, bribery and corruption, sanctions, money laundering) and the Compliance Inbox.

Required experience

• Substantial experience in a compliance, risk, governance or audit role within an FCA-regulated financial services business.
• A track record of running monitoring or assurance reviews, managing issues to closure and producing management information.
• Good working knowledge of PRIN and the Consumer Duty, SYSC, ICOBS, PROD, DISP, SUP, CASS 5, SM&CR and the FCA Conduct Rules.
• Strong investigation, analysis and judgement, with the ability to turn complex requirements into proportionate controls and practical advice.
• Clear written communication for reports and customer correspondence, and the confidence to influence and challenge at all levels.
• Experience supervising, coaching or coordinating the work of others.
• Proficient in Microsoft Word, Excel and Outlook.
• Desirable: a Cert CII, Dip CII or ICA qualification (or working towards one), experience overseeing appointed representatives, and a general insurance or pure protection background.

Salary & benefits

• 25 days holiday + bank holidays
• Monday to Friday, 9am - 5pm, office-based in Gateshead.
• Support with continuing professional development and further professional qualifications.
• Further benefits package - full details provided on application.