Job Information
Risk and Compliance Manager - Permanent (5408)
N/A Stone, Staffordshire 121 Days Ago
Posted: 17-12-2020
35,000 - 35,000 Per Annum
Monday to Friday, 8.30am – 5.00pm
Salary: £35,000 per annum

Candidate Requirements:

  • Experience of managing compliance in a financial industry
  • Have at least 12 months experience in a similar level role and/or proven experience as a Compliance Manager
  • BSc/BA in Law, Finance, Business Administration, or related field
  • Certified compliance professional desirable
  • In depth knowledge of industry or similar industry standards and regulations
  • Enforcement experience and relevant system experience desirable but not required

Job Description:

Our client is a successful family business that has an opportunity for a Risk and Compliance Manager to join their team. As an FCA regulated company, the individual will be responsible for coordinating the creation, review and implementation of policies and procedures established by the relevant regulators, as well as applying and interpreting audit and compliance requirements for various departments.


As the Risk and Compliance Manager you will be interacting with external auditors on matters related to audits of the organisation's internal controls, and assess potential fraud activity, plus develop fraud detection tools. They will also lead and develop the company’s complaints process.


The Risk & Compliance Manager will have a solid background in statistical, analytical, and organisational skills.


Overall Responsibilities:


  • Conducting internal reviews and audits, including auditing Body Worn Video camera footage, and regularly liaising with Head of Enforcement
  • Conducting compliance risk assessment training workshops
  • Conducting environmental audits to ensure the Company meets its environmental requirements
  • Advising internal management on the implementation of compliance programs
  • Developing risk assessment strategies
  • Following up on compliance issues that require investigation
  • Evaluating compliance systems and ensuring adequate software is in place, and assisting with developing current systems if appropriate
  • Creating monthly, quarterly, and yearly compliance reports to feed into the Management Board
  • Ensuring that all employees are thoroughly updated and adhering to the organisation’s policies, regulations, and processes
  • Liaising with the HR Manager regularly and developing new policies and practices when required
  • Managing Compliance Assistant/Quality Assurance Coordinator upon successful recruitment of that role
  • Ensuring that all accreditations and standards such as ISO/CHAS/PCI are maintained, and any additional accreditations are obtained
  • Working with the relevant Team Leads, respond to complaints when passed over from the Administration Team - handing Stage 1 of the process
  • Monitoring and reviewing call recordings in order to gather facts around complaints
  • Handling any Subject Access Requests (SARs) and liaising with relevant team members for information or using the Debt Recovery system to obtain data
  • Reviewing the Complaints Procedure to identify any areas to improve or change
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