| Job Title: | Compliance Manager |
|---|---|
| Reference: | Compl3013 |
| Salary: | Up to £40,000 |
| Location(s): | Glasgow |
| Industry(s): | Financial Services |
| Advertiser: | Compliance Professionals Ltd |
| Employment Type: | Permanent |
| Posted: | 15-08-2008 |
Description:
THE COMPANY:Our client is a rapidly growing UK Financial Services company offering a range of products and services. A fantastic opportunity has arisen for a Compliance Manager join a growing team.
THE REPSONBILITIES:
Carry out the Compliance Monitoring Plan based on the monitoring requirements determined by the Business Unit Support Teams and in accordance with the firms Compliance Monitoring Procedures and methodology.
To maintain, changing where necessary, the firm’s Compliance Monitoring Procedures and methodology whilst incorporating those agreed with the Business Partner “authorised firms”.
Complete reports of monitoring findings are completed, including suggestions for relevant remedial actions.
Present monitoring findings to the relevant Business Managers at de-brief stage and in draft and final reports and to the Business Partners at final report stage. To additionally present findings to the Compliance Business Unit Support team and / or the Compliance Monitoring Manager / Compliance Director as required.
Maintain appropriate records relating to monitoring activity.
To report on progress against plan and outstanding actions for governance or otherwise as required.
Undertake ad hoc compliance monitoring as and when requested by the Compliance Director and / or line Manager and provide reports of findings and any suggested remedial actions.
Provide support and guidance to the relevant Compliance Business Unit Support teams to ensure that remedial actions fulfill regulatory requirements.
To escalate risks and issues to the Compliance Manager and / or Compliance Director as appropriate.
To undertake any other reasonable request by Compliance Director and / or line manager.
EXPERIENCE REQUIRED:
Strong compliance experience gained from a insurance background
Knowledge of Life & Pensions market, products and procedures would be beneficial
For further information, please contact Spencer Evans
