Complinet | Recruitment | Jobhttp://www.complinet.com/recruitmentjobs/job/details/id/11801Attractive basic and bonus potential | Location: London | Sector: Securities & Wholesale BankingInvestment Banking/StockbrokingRetail Banking | Published: March 14th 2010 | <p> </p> <p>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.</p> <p>Managing a team of two, you will be responsible for:</p> <ul> <li>At all times to promote a client centric view which ensures that the company treats its customers fairly</li> <li>Provide proactive and timely compliance advice to all areas of the business.</li> <li>customer complaint handling process, to ensure all queries are dealt with promptly and fairly and in accordance with TCF principles and working practises;</li> <li>manage process for approving financial promotions and other communications with clients;</li> <li>compliance training program including the computer based training arrangements</li> <li>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).</li> <li>Co-ordinate and prepare monthly Treating Customers Fairly management information</li> </ul> <ul> <li>Provide assistance with monthly compliance reports for relevant committees and boards.</li> </ul> <ul> <li>Provide a strong lead in the proactive management of compliance risk in the business (identify, assess, report; monitor and resolve regulatory issues).</li> </ul> <p> </p> <p>Your background:</p> <ul> <li>Knowledge and understanding of the UK regulatory environment.</li> <li>In-depth knowledge and understanding of FSA Handbook, particularly on the retail side.</li> <li>Strong prior experience in a compliance role, preferable (but not essential) in a retail business;</li> <li>Strong people coaching skills;</li> <li>Strong communication skills, written and verbal;</li> <li>Organised and self motivated working style;</li> <li>Previous experience in a managerial or team leader role.</li> </ul> <p> </p> <p>To apply, please send your CV to Mark Holmes. mark@holmessearch.co.uk. Tel: 01732 746683. Job ref: UKCMM2</p>