The Regional Compliance Manager will be responsible for performing compliance audits and other oversight activities within the intermediary retail network as part of the Intermediary Oversight framework, providing regulatory support, carrying out intermediary visits, producing reports, controls, and on-going feedback to the Nation Oversight Manager.
This role is Field based (predominantly Mid/South UK) and subsequently, there may be a requirement for travel, overnight stays and periods away from home.
KNOWLEDGE, EXPERIENCE, QUALIFICATIONS:
- Educated to at least A level standard or equivalent.
- In depth knowledge of retail and contract hire finance products.
- Good knowledge of regulatory regime(s) and the requirements and guidance issued by the regulatory bodies, including the Financial Conduct Authority and Information Commissioner's Office
- Ability to translate said knowledge into suggestions and recommendations to Retailers and Brokers to adopt and comply with such changes.
- Good working knowledge of Microsoft Excel, PowerPoint, Word and G-suite.
- The ability to train groups of staff, including retailers or brokers.
- Able to handle high conflict situations, to work under pressure and meet deadlines.
- To evidence a practical and collaborative approach.
- Previous experience in Compliance or Internal Audit roles is a must.
- SAF Advanced qualification would be desirable.