Ref: 3895
Job Title: Regional Compliance Manager
Salary: Competitive with Car, Private Health (family cover), pension and 25 days holiday
Location: Field based - predominantly Mid and South England (there may be a requirement for some travel and overnight stays
We are delighted to be working with this blue-chip, well-respeceted company. They are looking for a Regional Compliance Manager to complete compliance audits and other oversight activities across the region, providing regulatory support, carrying out intermediary visits producing reports, controls and on-going feedback to the National Manager.
The successful candidate will have an indepth knowledge of retail and contract hire finance products, with a good knowledge of regulatory regime and requirements and guidance issued by regulatory bodies. You will have experience of training teams, developing their knowledge of compliance.
This compliance role is interesting and varied, your responsibilities will include:
- Verify the regulatory requirements for onboarding a new retailer are met and complete the onboarding compliance checklist
- Carry out onsite compliance audits on a risk-based a risk-based approach in accordance with the national plan, this will include a review of management information, customer files, systems, polices and procedures etc
- Draft compliance audit reports for each intermediary including checks performed, outcomes, GAP analysis and action plan
- Discuss compliance audit reports with National Compliance Manager prior to sharing with the Group
- Perform follow-up activities on the execution of the plans
- Monitor completion of regulatory training
- Analyse data and report on findings
- Liaise with the sales team when conducting compliance audits
- Make recommendations and suggest updates in line with Regulatory requirements
- To keep appropriate records of all documents and materials collected on the field
Please only apply if you match the above criteria.
S4 is acting as an agency for this role.
At registration stage, to confirm your identity, you will be required to bring your passport and proof of address with you. Registration takes approximately 20 minutes.
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Please note that only successful applicants will be contacted. S4 Personnel Ltd is only able to process applications from candidates who are currently resident and eligible to work in the UK.