Senior Compliance and Training Manager

Senior Compliance and training Manager

For reputable Mortgage Brokerage in Warrington

Responsibilities:

• Reporting directly to the Directors

• Manage the development of our compliance policy and procedure documents, including roll out and training of FCA driven initiates such as GDPR and SM and CR, AML. Making sure all annual mandatory training is delivered on time

• Prepare and develop compliance reports for the Company Board and relevant Regulators (FCA) which will feed into our Gabriel Report

• Management of policy updates in accordance with changes in regulations

• Manage authorisations with the FCA

• Ensure appropriate internal oversight is established in accordance with FCA guidelines and other regulatory requirements

• Manage advisors in KPIs, case studies, fraud (Pre Dip Checks) and corrective actions

• Strong engagement with compliance business partners and stakeholders (Simply Biz Compliance Team)

• Compliance Referencing

• Dealing with all regulatory requirements relating to key compliance issues

• Financial Crime due diligence

• Sign off on marketing material

Requirements:

• Strong communication skills

• Strong knowledge of the regulatory requirements relating to key compliance issues

• At least 2 years’ compliance experience

• Financial Crime experience

• Previous experience in regulated environments

• SM&CR trained

- ICA qualification preferred

https://www.int-comp.org/course-finder

Scope :

Filter by subject area

• Anti Money Laundering

• Governance, Risk and Compliance

• Financial Crime Prevention

• Customer Due Diligence

• Managing Sanctions Risk