Compliance Manager, Management

Location: Lanark

Overview Our leading Douglas-based Finance Sector Client with an international focus are enjoying a busy workload within their Compliance and Risk function. To support this, they have an opportunity for an experienced Compliance Manager to join an established team.

The Compliance Manager is a leading and proactive role, responsible for the effective functioning of the Group Compliance Department and working with colleagues across the Group to support and promote compliant practices, behaviours and culture on a continuing basis. You will hold DMLRO status and controlled function responsibilities and will be required to uphold the requirements and objectives of fitness and propriety as outlined by the Group Policy Framework.

Key Responsibilities include:

Proactive leadership of the Compliance Department to build and maintain positive, collaborative relationships across the Group Management and co-ordination of the day-to-day activities of the Compliance Department, in line with overarching policy and regulatory objectives

Ownership, development, management and maintenance of effective, fit for purpose compliance frameworks, which guide and define organisational practices and behaviours, and which provide a clear context for business decision-making

Positively influence compliance culture and practices across the Group Development and delivery of an adequate and effective compliance monitoring programme which is coordinated with third line assurance service provision in order to maximise business value

Working with business colleagues to positively influence good customer outcomes supported by compliance analysis of relevant processes, behaviours and procedures, proposing and supporting effective change, where needed

Championing the core values of the Group in respect of both performance and behaviour and contributing to continuous improvement

Maintaining oversight of regulatory submission obligations throughout the course of the financial year ensuring regulatory obligations, timings and deadlines are fully met Support and be committed to the continued development and implementation of corporate strategies and policies, as they relate to the organisational agenda generally and specifically in relation to:

- Risk management and internal control, Continuous compliance with obligations and quality assurance of performance, Corporate governance and probity

Provision of training, education, consultancy and support services to Management and staff as necessary / required or agreed

Supporting and providing cover to the MLRO and where necessary providing AML training and awareness sessions

AnsThe ideal candidate for the role of Compliance Manager will be:

A highly competent and appropriately qualified professional with a minimum of 5 years' experience in a senior compliance role and a proven track record in managing staff

Substantive knowledge and understanding of sector specific legal and regulatory frameworks with the ability to understand, assess and effectively communicate the impact of changes and developments in the local and international environment

Good understanding of the existing data protection legislation and the implications of GDPR with the capacity to oversee the design and implementation of adequate and appropriate governance arrangements

Good working knowledge and understanding of risk management, internal control and corporate governance principles and practices

Demonstrates an understanding of and upholds the principles of ethics and integrity

Working knowledge of fraud risk and the appropriate means for detection, investigation and prevention

Keen to develop and exploit effective working relationships and advocate the work of the GRC Department to other business areas

Effective communicator - both orally and in writing to a wide range of audiences

Able to apply tools and techniques relating to research and investigation, process and project management, risk and control, data collection and analysis and problem solving

Remains calm under pressure and resilient to the demands of a busy and challenging environment

Competent in Microsoft applications, including Word, Outlook, PowerPoint, Excel and MS SharePoint