Compliance Manager

Lead the compliance department, ensuring outputs are reflective of the
business performance targets, strategy, vision and values.
 Assist with the development, implementation and oversight of the
Governance Framework within the business
 Assist in reviewing and implementing processes to ensure all staff are
aware of their responsibilities in relation to the governance framework,
compliance, and quality standards
 Undertake regular interval audits/assessments of compliance adherence,
reporting any non-conformities to the Senior Management Team
 Responsible for client audits and reporting and non-conformance to
Senior Management team
 Assist with the development and maintenance of the audit plan
 Make recommendations to the business for improving compliance and/or
quality standards
 Monitor oversight results highlighting any potential risks and suggestions
for improvement to senior managers.
 Minimise business risks through the effective use of risk management
policies and procedures
 Revise and update compliance policies and procedures ensuring all are
reflective of the businesses treating customers' fairly policy.
 Approve new strategies and training material ensuring all are compliant
with relevant legislation
 Compile business and regulatory reporting for clients and senior
managers.
 Maintain knowledge of regulatory rules/ guidance and legislation
updates.
Docusign Envelope ID: E10A8CDB-2B97-4896-AE08-122F76E8756A

Act as a liaison with the relevant regulatory authorities, trade associations and other parties who deal with, clarify, and resolve compliance issues/concerns  Advise on legal documentation, regulations and directives as required  Assist with the retention of our FCA authorisation and ISO accreditations  Ensure compliance with all relevant regulatory standards and guidelines, including but not limited to Financial Conduct Authority (FCA) regulations, Consumer Duty, Data Protection Act (DPA), Consumer Credit Act, General Data Protection Regulation (GDPR), Consumer Rights Act, Money Laundering Regulations, Credit Services Association (CSA) Code of Practice, Financial Ombudsman Service (FOS) guidelines, Information Commissioner's Office (ICO) regulations, Treating Customers Fairly (TCF) principles, Debt Collection Guidance, and any other applicable laws or industry codes of conduct.