COVID-19

Compliance Manager

Full Time

Key Group

Compliance Manager Preston

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We have a fantastic opportunity for a Compliance Manager to join our friendly, professional team in Preston.

Key Group is one of the most exciting, forward-thinking brands in financial services, focused on helping people unlock a better retirement since 1998. Our mission is simple: To be the UK’s leading later life lending company.

To support the growth of the business and the increased amount of workload, we are hiring for a Compliance Policy and Support Manager to contribute to the direction and implementation of the Key Group Compliance policies, for both its lending and advisory services.

The successful candidate will also be responsible for providing advice on and to provide oversight to the business on regulatory obligations and the delivery of good customers outcomes.

If you are committed to quality and keen to support and promote a forwarding-looking compliance culture, get in touch!

Principal accountabilities of the Compliance Manager:

  • Management of the compliance team, including the policy and support advisory team and the compliance monitoring team
  • Provide direct support, guidance, and advice to all areas of the business on compliance matters including financial promotions, customer outcomes, vulnerable customers, SMCR, money laundering regulations, and other regulatory requirements
  • To influence and assist all areas to establish and maintain appropriate standards of business practice consistent with company and regulatory requirements
  • To build effective, supportive relationships with key stakeholders to facilitate and develop the company and regulatory culture
  • To oversee and manage the team’s involvement in regulatory processes, including financial promotion reviews, complaints, AML, and monitoring activities
  • To support in the development of the compliance monitoring plan and methodology, and to manage adherence to schedule
  • To promote a positive and proactive approach to embedding ‘best practice’ and with it a forward-looking compliance culture
  • To assist in evaluating employee performance and identifying training needs
  • To support ongoing compliance with the SMCR requirements for the Group
  • To assist the Head of Compliance in meeting regulatory reporting requirements
  • To deputise for the Head of Compliance when necessary
  • To support project work and meetings as required by the compliance leadership team

This Compliance Manager role would suit candidates with experience in the following areas: Policy and Support Manager, Compliance Monitoring, Finance, Compliance.

Benefits

  • 25 days holiday plus bank holidays
  • Tier 1 Pension
  • AXA Exec Healthcare
  • Life Assurance
  • Charity days

Essential Skills

Experience

  • To have previous compliance experience within the financial services industry
  • To have previous experience in the management and supervision of colleagues
  • To have a working knowledge of the FCA Handbook (essential), including MCOB
  • To have experience in meeting regulatory reporting requirements (desirable)
  • To have excellent interpersonal, verbal, and written communication skills
  • Excellent level of attention to detail, scores highly on quality control, and experience of working in a fast-paced working environment where accuracy is essential
  • An ability to demonstrate initiative, whilst applying and following a methodical approach to tasks would be an essential prerequisite
  • To have a knowledge and practical experience of the interpretation and application of legislation and regulation is essential
  • Experience of reviewing financial promotions in accordance with regulatory and company policy is preferential
  • Professional background accustomed to high standards of personal discipline and behaviour evidencing a strong work ethic, disciplined approach, and professionalism

Desired Skills

Personal qualities / competence

  • Excellent punctuality, timekeeping, standard and accuracy of work.
  • An appropriate professional qualification or be willing to undertake such exams
  • To be able to demonstrate analytical, decision-making, and problem-solving skills, achieving best business practice
  • Committed to quality, highly compliant
  • Proactive – constantly considers process and puts forward suggestions on how to change for the better
  • Accurate, methodical, and able to prioritise effectively, with the ability to work well under pressure
  • Excellent standard and accuracy of work

About Company

Our purpose is to help people finance a better retirement.

Our mission is to be the UK’s leading later life lending company.

Our connected portfolio of brands comprises of Key, Key Partnerships, more2life, The Equity Release Experts and Air Group.

https://www.wearekeygroup.co.uk/legal/privacy-policy

Essential Requirements

Experience

  • To have previous compliance experience within the financial services industry
  • To have previous experience in the management and supervision of colleagues
  • To have a working knowledge of the FCA Handbook (essential), including MCOB
  • To have experience in meeting regulatory reporting requirements (desirable)
  • To have excellent interpersonal, verbal, and written communication skills
  • Excellent level of attention to detail, scores highly on quality control, and experience of working in a fast-paced working environment where accuracy is essential
  • An ability to demonstrate initiative, whilst applying and following a methodical approach to tasks would be an essential prerequisite
  • To have a knowledge and practical experience of the interpretation and application of legislation and regulation is essential
  • Experience of reviewing financial promotions in accordance with regulatory and company policy is preferential
  • Professional background accustomed to high standards of personal discipline and behaviour evidencing a strong work ethic, disciplined approach, and professionalism

COVID-19 Compliance Manager Preston

Apply Now

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