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Compliance Manager

Compliance Manager | Central London | £50K

Core responsibilities:

• Knowledge and understanding of all ongoing client assignments within the department in order to deal professionally with all enquiries
• Research and keep up-to-date with changes with FSA rules and guidance and ensure this is communicated effectively to all relevant parties, by way of briefings, emails and factsheets
• Ensure compliance manuals are kept up-to-date; monitor programmes for necessary changes and report on any findings
• Produce written reports on remedial actions resulting from the monitoring programme and contribute to follow-up meetings with operational line managers
• Review the work of the more junior compliance consultants in the team in relation to the preparation of FSA application packs, variation of permission notices and update of firms ICAAPs
• Assist with work required under FSA Risk Mitigation Programmes, AAF 01/06 and s166 reviews
• Review reports prepared following on site, ongoing monitoring visits and deal with issues raised by the client thereon
• Assist clients with mock ARROW visits, including interviewing senior staff / board members
• Assist other members of the team with ad hoc queries on the FSA Handbook when required
• Assist more senior team members with people management; ensure all staff within the team complete work within allocated timescales and to the standard required. If problems occur, seek ways to resolve matters quickly and efficiently
• Assist with setting targets and objectives for team members, as well as on the job training and coaching
• Contribute and implement ideas for staff motivation and development
• Contribute to the strategic growth of the compliance consultancy department; attend prospective client meetings and actively suggesting ideas and concepts for marketing opportunities with existing and potential clients
• Prepare and present internal and external courses to keep up to date with regulatory issues, including money laundering

Candidates must come from a consultancy background

If you would like to be considered for this role pleasse e-mail consultants@humtons.com

This job vacancy is no longer active.

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