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Compliance Manager – Retail Banking

Compliance Manager – Retail Banking

Client:

Our client is an exciting new company in Belfast providing consumer credit and retail banking products. On their behalf Vanrath are recruiting for a Compliance Manager to assist in establishing the compliance framework of the company, providing advice to the business on products and services and ensuring the business meets all regulatory requirements including UK FCA regulation, consumer finance legislation and TCF principles. This is an exceptional career opportunity for an experienced Compliance professional to be involved in a new venture and to see their impact from day one.

Responsibilities:

- Overall responsibility for compliance and money laundering reporting
- Assistance with preparation of regulatory business plan
- Preparation and submission of FCA half yearly reports
- Building strong working relationships with regulators to ensure the business is viewed as best in class from a systems compliance perspective
- Advice and delivery on relevant compliance training
- Reviewing and approving of investment and lending products
- Preparation and monitoring of business risk assessment
- Documentation of Treating Customers Fairly strategy
- Preparation of documented procedures and compliance monitoring programme
- Maintaining knowledge of FCA Handbook and Consumer Credit Sourcebook to ensure business complies
- Approving client facing marketing material, client presentations and proposals (including pre-contract info, credit agreements, copy docs, statements, notices etc) comply with the Consumer Credit Association
- Maintaining financial promotions and marketing material disclaimers
- Maintaining legal and regulatory knowledge and providing consultancy on other relevant laws requiring policies e.g. data protection
- Scanning the regulatory horizon and communicating changes to management

The Ideal Person:

- Previous experience as a Compliance Manager / Officer within a retail product or wealth management environment
- Excellent knowledge of the FCA’s regulatory requirements for consumer finance including compliance, AML, Financial Promotion Rules and TCF principles
- Good understanding of retail products
- Ability to prioritise and meet deadlines
- Experience of reviewing marketing material for retail management business is desirable

Remuneration:

- Competitive salary + benefits package including company pension

For further information on this compliance vacancy, or any other Banking or Financial Services job in Belfast or wider Northern Ireland, please apply via the link below or contact Ruth McDonald in the strictest confidence on 02890 330 250

(IF YOU HAVE FORWARDED YOUR CV TO VANRATH WITHIN THE LAST 3 MONTHS please do not apply as our specialist consultants are aware of your availability. If you would like to contact VanRath for an update please call our consultants directly on 02890 330 250.)