About the job 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
Sign off on marketing material
Requirements:
Strong knowledge of the regulatory requirements relating to key compliance issues
At least 2 years’ compliance experience
Previous experience in regulated environments
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