Compliance Manager

A Compliance Manager is required by a highly successful, niche consumer lender to support the Head of Compliance with the successful delivery of the firm’s internal compliance and oversight program through routine monitoring of their retail partners and internal processes, whilst also providing compliance guidance and support to these partners. The role is based in Chorley.

Your responsibilities will include:

• Conducting risk-based assessments of new business files and make recommendations to the board
• Conducting both field based and desktop reviews of retail partners
• Assessing the compliance arrangements of retail partners on an ongoing basis by reviewing websites, policies, processes & marketing materials and providing feedback with recommendations
• Producing regular reports and MI for key stakeholders
• Playing a key role in the identification, mitigation and ongoing management of risk
• Conducting Quality Assurance assessments of the company’s Business Development Team on an ongoing basis
• Providing guidance on regulatory matters to the business and its retail partners
• Supporting retail partners and lenders in the timely resolution of complaints

You will have experience in a Compliance role (advisory, monitoring or generalist) within Financial Services and will have a good working knowledge of FCA regulations. Any experience of CONC, DISP and SM&CR would be advantageous but is not essential. You will also have excellent report writing and analytical skills and will be a confident communicator with a proven track record of strong stakeholder management.

Location:Lancashire

Salary:£27k - £32k

Reference:414954

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