Compliance Manager - Wirral
Business Context:
The primary functions are to co-ordinate and manage the compliance function, ensuring the compliance regime is effective in practice as per rules contained within the Financial Services Handbook.
Core Daily Responsibilities
· Manages team performance and works to achieve results against planned Compliance Timetable to ensure all departments are audited in the specified period.
· Develop and motivate team in order to achieve results through daily meetings.
Core Weekly Responsibilities
· Compliance Team formal meeting to discuss Compliance Timetable, roadblocks, latest from the Financial Services Authority what impact this may have. How to improve the compliance function and what can be changed as a consequence of audits.
Core Quarterly Responsibilities
· Complete full-signed Audit reports as per Compliance Timetable to Head of Compliance
· Review of the Compliance Manual and supporting procedures to ensure up to date and valid. Necessary notification to relevant department of any changes.
· Analysis of Company complaints
Core Annual Responsibilities
· Complete the Compliance Timetable as per the Annual planned activity.
· Ensure that the Professional Indemnity Insurance, Consumer Credit Licence, Data Protection is renewed.
Core General Responsibilities
· Liasing with Marketing Department in relation to compliance amendments to the generic application form and building relationships with Lending partners to ensure a seamless signoff process.
· Working under the guidelines of MCOB to ensure necessary compliance systems are in place, reviewed regularly and work in practice.
· To co-ordinate initial complaint and preparing documentation for Head of Compliance for review and response as per Company standard.
· To liase with panel lenders in relation to compliance issues, ensuring a timely written response is received.
· Seeks to improve own job and team performance through continuous learning of the Financial Services Handbook.
· Gives energy to creating team spirit, encouraging people to work together and build relationships.
Criteria Required:
The role requires a detailed understanding of Financial Services and the mortgage market, along with working knowledge of managing a compliance team. Holds or working towards CEMAP or equivalent qualification:
If you meet this criteria call us today OR email over your CV .
The primary functions are to co-ordinate and manage the compliance function, ensuring the compliance regime is effective in practice as per rules contained within the Financial Services Handbook.
Core Daily Responsibilities
· Manages team performance and works to achieve results against planned Compliance Timetable to ensure all departments are audited in the specified period.
· Develop and motivate team in order to achieve results through daily meetings.
Core Weekly Responsibilities
· Compliance Team formal meeting to discuss Compliance Timetable, roadblocks, latest from the Financial Services Authority what impact this may have. How to improve the compliance function and what can be changed as a consequence of audits.
Core Quarterly Responsibilities
· Complete full-signed Audit reports as per Compliance Timetable to Head of Compliance
· Review of the Compliance Manual and supporting procedures to ensure up to date and valid. Necessary notification to relevant department of any changes.
· Analysis of Company complaints
Core Annual Responsibilities
· Complete the Compliance Timetable as per the Annual planned activity.
· Ensure that the Professional Indemnity Insurance, Consumer Credit Licence, Data Protection is renewed.
Core General Responsibilities
· Liasing with Marketing Department in relation to compliance amendments to the generic application form and building relationships with Lending partners to ensure a seamless signoff process.
· Working under the guidelines of MCOB to ensure necessary compliance systems are in place, reviewed regularly and work in practice.
· To co-ordinate initial complaint and preparing documentation for Head of Compliance for review and response as per Company standard.
· To liase with panel lenders in relation to compliance issues, ensuring a timely written response is received.
· Seeks to improve own job and team performance through continuous learning of the Financial Services Handbook.
· Gives energy to creating team spirit, encouraging people to work together and build relationships.
Criteria Required:
The role requires a detailed understanding of Financial Services and the mortgage market, along with working knowledge of managing a compliance team. Holds or working towards CEMAP or equivalent qualification:
If you meet this criteria call us today OR email over your CV .
Call 0151 326 2327 or send your CV to vacancies@iandoylerecruitment.co.uk
