Compliance Manager

Role Overview

• Develop and maintain a comprehensive understanding of all relevant laws, regulations, and internal policies that apply to the Onmo.
• Maintain Regulatory development log and provide business impact assessments and regulatory updates in a timely manner.
• Provide guidance and support to business units on compliance matters, including reviewing and approving new products, services, marketing materials and remuneration.
• Conduct compliance themed monitoring and advisory reviews and develop strategies to mitigate identified risks.
• Develop and implement compliance training programs to educate employees on relevant laws, regulations, and internal policies.
• Monitor and assess the effectiveness of compliance training programs and make recommendations for improvements.
• Collaborate with internal stakeholders to ensure a coordinated approach to compliance.
• Investigate and respond to compliance-related complaints and inquiries from regulators, clients, and employees.
• Support the SMCR Regime by closely working with HR and submit FCA Connect forms and Directory Persons as required.
• Support the ongoing regulatory and change programs by acting as the FCA compliance expert.
• Prepare and submit regulatory reports and filings as required.
• Keep management informed of significant compliance issues and developments.
• Assist in the analysis and production of Compliance reporting.
• Assist in the identification and assessment of emerging risk including those arising from changes to regulatory obligations.
• Participate in industry forums and staying informed about emerging compliance trends and best practices.
• Create and comment on compliance MI that feeds into 2nd Line reporting.

Requirements

• Robust experience in financial services in a 2nd line compliance role
• Working knowledge of and experiencing in using the FCA Handbook
• Excellent analytical and problem-solving skills, with the ability to identify and mitigate compliance risks
• Strong communication and interpersonal skills, with the ability to effectively communicate complex compliance issues to non-compliance professionals
• Ability to work independently and collaboratively in a fast-paced, deadline-driven environment.
• Strong attention to detail and organizational skills
• Ability to draft Compliance Oversight reports and other management reports to support the Compliance Oversight Officer
• Ability to create and deliver specific compliance training on a face-to-face basis for employees to enable compliance to be embedded in the business
• Ability to maintain the FCA Reg Data and FCA Connect requirements for the firms reporting, notifications and SMCR requirements
• Ability to analyse the FCA returns from across the business to ensure they are comparative with previous returns
• Self-motivator
• Strong IT skills (Particularly Excel and other MS office applications)