Job Title:	Compliance Manager - EXCLUSIVE INSTRUCTION
Reference:	3408
Salary:	£35,000 pro rata
Location(s):	Kent
Industry(s):	Financial Services
Advertiser:	Compliance Professionals Ltd
Employment Type:	Contract
Posted:	02-07-2009

Description:

THE RESPONSIBILITIES
• Assist Risk & Compliance Director with all aspects of their role as necessary and act as an alternate in attending internal and external committee or management meetings
• Provide advice, training and guidance to the business on regulatory matters
• Provide advice, training and guidance to the Risk & Compliance Assistant and the Risk & Compliance Administrator
• Promote awareness of regulatory principles and requirements and provide support for their implementation
• Review regulatory papers to determine relevance and impact on the business and implement, or assist in and advise on the implementation of, any changes required
• Input into the development of technical systems and business processes to ensure minimisation of regulatory risk
• Monitor outside developments in the wider financial services sector and proactively share best practice
• Supervise the Compliance Monitoring Programme and develop this to meet the needs of the business and regulatory system
• Control exception, breach, near-miss and compliments monitoring and reporting
• Carry out internal reviews to identify regulatory weaknesses or inadequacies in processes or controls, or in response to specific loss events, and undertake or monitor remedial work
• Undertake regulatory due diligence on third parties if required
• Make, assist with or supervise required reports to the regulator
• Maintain and monitor an efficient and compliant system for the handling of complaints
• Deal with complaints, including investigation, internal reporting and responding to clients
• Review and approve financial promotions
• Monitor and sign off all aspects of new client documentation
• Ensure maintenance of compliance function files and other records
• Provide cover for the Risk & Compliance Assistant as required
• Complete the Risk & Compliance sections of questionnaires for third parties e.g. awards, submissions, due diligence enquiries

EXPERIENCE REQUIRED
• Excellent knowledge of regulatory process and requirements
• Proven experience within the Wealth Management sector
• Confidence to liaise with staff and external parties
• Ability to provide focused and effective training
For further information please contact Spencer Evans on spencer.evans@complianceprofessionals.co.uk quoting ref COMPL 3408