Compliance Manager recruitment
Working from Birmingham you will have responsibility for:
- Compliance monitoring and investigation of ongoing business activity including reviews of relevant
business lines activity and ad hoc visits to third party service providers and administrators to
ensure compliance issues are identified and that where necessary, interpretation guidance given to
the business to ensure remediation.
- Oversight of third party management information to both ensure adequacy and early identification
of issues.
- Production of regular compliance management reporting and a monthly regulatory roundup for
distribution up to management.
- Collating and preparing information for parties external to Compliance including FSA Returns.
- Understanding and responding to customer complaints and non standard communications with
Financial Ombudsman.
- Perform oversight of FSA remediation plans ensuring that remedial actions are tracked and can be
independently assessed for RAG status.
- Raising awareness of Treating Customers Fairly (TCF) approach throughout all layers of business
management and operations.
- Assist in the preparation and execution of annual Compliance Risk Assessment and Monitoring Plan
for mortgage activities within the group.
For this exceptional opening an in depth knowledge of Mortgage Conduct of Business (MCOB) and the Consumer Credit Act is a pre-requisite. We are therefore looking for candidates to demonstrate a strong background in the Financial Services Industry.
If you would like to apply for this role or find out more, please apply online or contact John Fallon at Robert Walters on 0121 260 2560 or john.fallon@robertwalters.com quoting the reference JFC1428280.
Where any specific qualification is mentioned, all equivalent overseas qualifications are acceptable.