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Reporting directly into the European Head of Compliance, your primary purpose is to manage the delivery of day-to-day compliance duties to the business.

Managing a team of two, you will be responsible for:

• At all times to promote a client centric view which ensures that the company treats its customers fairly
• Provide proactive and timely compliance advice to all areas of the business.
• customer complaint handling process, to ensure all queries are dealt with promptly and fairly and in accordance with TCF principles and working practises;
• manage process for approving financial promotions and other communications with clients;
• compliance training program including the computer based training arrangements
• transaction reporting to the FSA, breach recording and reporting policies and procedures, and the Regulatory Watch process (monitoring of regulatory websites and preparation of Briefing Notes to the business).
• Co-ordinate and prepare monthly Treating Customers Fairly management information

• Provide assistance with monthly compliance reports for relevant committees and boards.

• Provide a strong lead in the proactive management of compliance risk in the business (identify, assess, report; monitor and resolve regulatory issues).

Your background:

• Knowledge and understanding of the UK regulatory environment.
• In-depth knowledge and understanding of FSA Handbook, particularly on the retail side.
• Strong prior experience in a compliance role, preferable (but not essential) in a retail business;
• Strong people coaching skills;
• Strong communication skills, written and verbal;
• Organised and self motivated working style;
• Previous experience in a managerial or team leader role.

To apply, please send your CV to Mark Holmes. mark@holmessearch.co.uk. Tel: 01732 746683. Job ref: UKCMM2

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