Compliance Team Manager
An exciting career opportunity has arisen within a Financial Services business in Brighton, East Sussex for a Compliance Team Manager.
The purpose of the job is to lead a team and support the Compliance Operations Manager in ensuring adherence to all relevant regulatory, legislative, and industry rules/guidance. With particular focus on retail matters e.g. communications and sales, to ensure compliance with the high level principle of clear, fair, and not misleading.
The job holder will be expected to:
· Provide regulatory support and guidance to the business (and, where relevant, partners) in its interaction/communications with the retail customer
· Manage day to day operational issues within the team and escalate as necessary
· Take responsibility for team members professional development and ensure annual PR’s are completed in a timely and effective manner
· Promote the concept of TCF throughout the business.
· Assist in providing training to the business whether through direct 1-2-1 or group presentations.
· Help identify and communicate promptly any corporate risks
· Meet all corporate governance and HR requirements.
· Identify and implement opportunities for change· Provide support to other members within the Compliance Department as directed by the Compliance Operations Manager
· Assist Senior Compliance Managers in handling external visitors eg regulatory/trustee/partner
The key accountabilities of the job will include:
· Team Responsibility: Pro-actively lead your team, to ensure they prioritise work effectively and complete it in a timely manner.
Good individual and team-working skills, including enthusiasm to lead and delegate effectively to achieve results·
Management – Deal with the day to day demands of leading a small team including operational and personal.
· Relationship Management: Demonstrate range of `people skills’ in all main means of communication to all audiences of all levels·
The successful candidate will demonstrate skills, knowledge experience in these key areas:
· Regulatory Compliance - Provide accurate and timely guidance to the business to ensure its adherence to all the relevant regulatory requirements.
· Treating Customers Fairly - Consideration must be given to the FSA principle of treating customers fairly. Whilst commercial interests are also a valid consideration these should not be at the expense of TCF.
· Corporate Governance -Ensure the systems and controls required to identify, mitigate, and manage risks are implemented.
· Resource Management - Ensure your personal resource is deployed effectively.
Self-manage and prioritise your own work and report and escalate matters that may affect the timely completion of you and your teams duties ·
Commercial focus - Help ensure the Team contributes to the business by providing appropriate, risk based and proportionate guidance.
· Service standards - Demonstrate focus on quality and ensure the service delivery standards set are met or exceeded - or, where no such standards exist, the Team is still able to evidence the delivery of a good service.
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