Compliance Support Manager
The role of Compliance Support Manager is to support the Finance Director who is the person responsible and accountable in the business for Compliance Oversight (SMF16).
The person is responsible, in support of the SMF16, for maintaining high standards of regulatory compliance primarily with the regulations of the Prudential Regulation Authority and the Financial Conduct Authority, but also with other important legislation such as Data Protection, Financial Crime, and Health and Safety at work.
Setting Compliance Standards
Support the SMF 16 in establishing systems and controls across the business which provide a proportionate methodology to meet regulatory requirements.
Be responsible for monitoring how well compliance standards are being delivered and establish a Compliance Plan to achieve such monitoring and reporting upwards on the outcomes.
The areas to be managed and monitored will include, but are not limited to, activities such as
Treating Customers Fairly; Complaints Handling; prevention of Financial Crime (in support of The Money Laundering Reporting Officer); Financial Promotions; Conflicts of Interest; Senior Manager & Certification Regime, Data Protection.
Reporting and Record Keeping
Responsible for ensuring that regulatory returns are submitted on time and their inputting into systems such as FCA RegData and Connect.
Maintenance of accurate entries about the business on the Financial Services Register.
Responsible for maintaining appropriate record keeping in the business to meet the specifications of the regulator’s rules.
Ensure the SM16 is kept up to speed with new and emerging regulation.
Maintain close working relationships with external advisers such as the compliance consultancy and internal auditors used by the business.
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