Compliance and Regulatory Reporting Manager

Recruiter
Morgan McKinley
Location
Horsham, United Kingdom
Salary
£35k - £40k
Posted
06 Oct 2022
Closes
20 Oct 2022
Ref
17201317
Job Function
Accounting/Audit/Tax
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Job Summary
  • Horsham
  • Permanent
  • BBBH830176
  • Oct 04, 2022
  • £35k - £40k

Job Description
Excellent opportunity an experienced compliance and regulatory professional to take on an exciting new role

Based in Horsham, reporting to the Compliance Director, the overall purpose of the role is to Assist the Compliance Director in administering reporting requirements, policies, monitoring frameworks, data extraction, report preparation and regulatory liaison. Coordinate compliance project work and assist with regulatory implementations.

Day to day duties will include:
  • Preparing annual reports
  • Engaging with other compliance managers to ensure strong communications across the business
  • Assist with Group risk management
  • Keep up-to-date with regulatory and industry developments
  • Provide support for Compliance Director and Compliance Managers as appropriate
  • Assist with the management and scheduling of all aspects of Group oversight
  • Liaise with business stakeholders and external parties in respect of escalated issues
  • Liaise effectively with senior management in respect of regulatory issues
  • Assist in making all appropriate notifications to the FCA
  • Produce regular internal MI to cover the role activity
  • Researching and producing MI reports to be escalated to senior management
  • Administering Group policies and assist in defining relevant procedures and controls
  • Manage the department's outstanding IT development
  • Undertake due diligence & screening of key suppliers and business partners
  • Liaising with other team members in respect of relevant procedures, data extraction, research and due diligence
  • General document management
  • Apply a risk-based and common-sense approach to the compliance monitoring and policy based processes
  • Undertake appropriate reviews, ensuring that the findings are accurately recorded and handled appropriately to mitigate associated risks

The ideal candidate will not only have strong analytical, observational and communication skills but will also have:
  • Knowledge of FCA rules and their interpretation
  • Ability to extract and analyse data
  • Ability to manage and co-ordinate a number of tasks and remain organised with all actions -
  • Minimum of level 4 Diploma in regulated financial planning (or equivalent)
  • Compliance experience within the financial services
  • Experience working with and motivating a team

Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.

BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.
  • You need to sign in to save