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- Tasks: Join us as a Compliance Manager, ensuring we meet regulatory standards and improve our compliance systems.
- Company: Be part of a forward-thinking Society dedicated to maintaining high compliance and ethical standards.
- Benefits: Enjoy flexible working options, professional development opportunities, and a supportive team culture.
- Why this job: Make a real impact by promoting compliance and fostering an open culture in a dynamic environment.
- Qualifications: You need at least three years of compliance experience in financial services and strong communication skills.
- Other info: This role offers the chance to work closely with senior management and influence key decisions.
The predicted salary is between 36000 - 60000 £ per year.
Purpose of role
Enable the Society to demonstrate effective reporting of compliance with regulatory requirements, ensuring appropriate and adequate systems and controls are in place, recommending improvements where identified to the Head of Compliance. Support the business and the Head of Compliance to ensure the Society is managing its conduct risks and associated regulations in a prudent and well controlled manner.
Key responsibilities:
- Compliance advisory
- Provide specialist advice using technical expertise, support and challenge to the business on matters relating to Financial Conduct Authority (FCA), Financial Crime regulation and Data Protection legislation.
- Ensure compliance culture is embedded and promote an open and honest culture.
- Regulatory horizon scanning
- Capture regulatory changes on the Regulatory Horizon Scanning Tracker on a monthly basis, including reference to the Regulatory Initiatives Grid each time it is updated.
- Interpret regulatory changes, assess impact, ensure managers are aware of changes impacting their areas, assist in implementation of changes.
- Maintain the Horizon Tracking oversight document to ensure each new item is tracked through to closure, and report status to management committees.
- Compliance reviews and oversight
- Conduct regular oversight reviews and thematic reviews of operational areas of the Society to support delivery of Compliance Monitoring plan where required.
- Produce reports following reviews which detail findings and remedial actions (where applicable) and feed this back to the business in a timely manner.
- Financial Promotions
- Review and provide sign off for financial promotions, advertisements and communications for the Society to ensure compliance with regulation.
- Project support
- Provide appropriate support to identified internal projects and areas of change, at the request of the Head of Compliance to act as Compliance representative to support Society compliance with legislation and regulation.
- Deputy support for MLRO
- Support the MLRO and act as deputy MLRO to provide coverage where the MLRO is not available.
- Handle administration, evaluation, and reporting of Suspicious Activity Reports (SARS).
- Help prepare and implement AML policies and procedures.
- Oversee the administration, evaluation and reporting of APP fraud claims.
- Deputy support for Data Protection Officer
- Support the DPO in assessing operational risk incidents and other potential data breaches, determining whether there is a requirement to notify the ICO.
- Support the Society’s response to DSARs and complaints related to data protection.
- Support for the Head of Compliance
- Produce accurate Management Information as required, for Society committees.
- Assist the Head of Compliance preparing monthly and quarterly reports to the Executive and Board committees.
- Assist the Head of Compliance in the preparation of regulatory returns.
Knowledge, skill and qualification requirements:
- Minimum three years' compliance experience in regulated financial services.
- Knowledge of regulatory requirements for financial promotions.
- Knowledge of MCOB, BCOB, DISP, JMLSG, GDPR and SYSC, desirable knowledge of PSR.
- Excellent written and verbal skills - able to communicate clearly and persuasively.
- Confident and experienced at stakeholder management.
- Attention to detail.
Compliance Manager employer: Harpenden Building Society
Contact Detail:
Harpenden Building Society Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks. Being well-versed in these areas will not only boost your confidence during interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with professionals in the compliance sector, especially those who have experience in financial services. Attend industry events or join relevant online forums to gain insights and potentially get referrals that could help you land the job.
✨Tip Number 3
Prepare for situational interview questions by thinking of examples from your past experience where you've successfully managed compliance issues or improved processes. This will showcase your problem-solving skills and practical knowledge.
✨Tip Number 4
Research StudySmarter's compliance culture and values. Understanding our approach to compliance will allow you to tailor your responses in interviews, showing that you're a great fit for our team and share our commitment to regulatory excellence.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant compliance experience, particularly in regulated financial services. Emphasise your knowledge of regulatory requirements and any specific frameworks mentioned in the job description.
Craft a Strong Cover Letter: In your cover letter, address how your skills align with the responsibilities of the Compliance Manager role. Use specific examples from your past experience to demonstrate your ability to provide compliance advisory and manage conduct risks.
Showcase Communication Skills: Since excellent written and verbal skills are crucial for this role, ensure that your application is free from errors and clearly communicates your qualifications. Consider including a brief example of a successful stakeholder management experience.
Highlight Attention to Detail: Given the importance of attention to detail in compliance roles, consider including a section in your CV or cover letter that illustrates your meticulous approach to compliance reviews or regulatory tracking.
How to prepare for a job interview at Harpenden Building Society
✨Know Your Regulations
Familiarise yourself with the key regulations mentioned in the job description, such as FCA, GDPR, and MCOB. Be prepared to discuss how these regulations impact compliance and how you have navigated them in your previous roles.
✨Demonstrate Your Advisory Skills
Prepare examples of how you've provided compliance advice in the past. Highlight situations where your expertise helped a business navigate complex regulatory requirements or improve their compliance culture.
✨Showcase Your Attention to Detail
Since attention to detail is crucial for a Compliance Manager, be ready to discuss specific instances where your meticulousness led to successful compliance outcomes. This could include audits, reviews, or reports you've produced.
✨Engage in Stakeholder Management
Be prepared to talk about your experience in managing stakeholders. Discuss how you've built relationships and communicated effectively with various teams to ensure compliance objectives are met.
