Regional Compliance Manager
My client is a fast-growing prestigious lender within the Motor Finance industry and they are looking for a Field based Audit Manager to join their team.
The Regional Compliance Manager will be responsible for performing compliance audits and other oversight activities to the companies UK Retailers and Brokers network. Providing reports and on-going feedback to the Compliance Manager, this role is Field-based and there may be a requirement for travel, overnight stays and periods away from home.
• To verify that the regulatory requirements for on-boarding a new Retailer or Broker are met as per the information received in the onboarding pack and completion of the onboarding compliance checklist.
• To carry out on-site compliance audits with Retailers and Brokers on a risk-based approach, including, a review of management information, customer files, systems, policies and procedures.
• To draft compliance audit reports for each Retailer/Broker including the checks performed, outcomes, issues detected and action plan.
• To perform follow up activities on the execution of the action plan.
• To monitor completion of regulatory training by Retailers and Brokers, including GDPR, SM&CR, AML, Treating Customer Fairly.
• To keep appropriate records of all documents and materials collected on the field in the compliance repository
• 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
• Previous experience in Compliance or Internal Audit roles is a must.
• SAF Advanced qualification would be desirable.
• 2x vehicles
• Private healthcare
• Great pension
• 25 days holiday increasing with service
• Plus many more benefits.
If interested in this role, please contact Vicky on 01279713900.