Compliance Manager - Thematic Reviews

COMPLIANCE MANAGER - THEMATIC REVIEWS

Compliance Manager required for a 6 month contract, working for a financial services organisation based in the North Essex/Cambridgeshire region. As Compliance Manager you will work with the Head of Compliance in delivering an effective and robust compliance monitoring framework in order to adequately mitigate conduct and regulatory risks. If you are an experience Compliance Manager we'd be keen to hear from you.

COMPLIANCE MANAGER RESPONSIBILITIES:

- Conduct Branch Visits and Reviews identifying areas of good practice, development and compliance with the businesses own internal operating procedures and controls.
- Conduct Thematic Based reviews which identify key themes and emerging risks; considering macroeconomic influences, current regulatory guidance and consultations.
- Conduct Regulatory Reviews; seeking to confirm compliance with the relevant regulations and/or legislation.
- Provide feedback from reviews to the relevant operational management with the aim of identifying necessary resolutions and mitigating actions going forward.
- Writing and producing reports which detail all findings, key themes and associated risks for approval by the Head of Compliance.
- Support the Head of Compliance in MI production and onward reporting of reviews to the Risk, Audit and Compliance Committee.
- Support the Head of Compliance in ensuring that the business is kept abreast of all developing legislation and regulation with onward escalation to appropriate key stakeholders.
- Support the Head of Compliance in providing appropriate person sign off for customer communications, society literature and website pages.
- Advocating a culture of treating customers fairly
- Appraising and advising the business on current regulatory issues.

£200 - £250 PER DAY

Compliance Management/Thematic Reviews/FSA/Banking/Savings/Products/TCF/Regulatory Requirements/Operational Risk/Risk Management/Control/Framework/Policies/Stakeholder Management

IF YOU APPLY FOR THIS ROLE, OUR THANKS FOR YOUR INTEREST. HOWEVER, DUE TO HIGH LEVEL OF APPLICANTS EXPECTED WE ARE UNABLE TO RESPOND TO EVERY ONE. THEREFORE, IF YOU HAVE NOT HEARD FROM EUROBASE PEOPLE WITHIN 5 WORKING DAYS, THEN, UNFORTUNATELY, YOUR APPLICATION HAS BEEN UNSUCCESSFUL.

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