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Compliance Manager

Company: Age Partnership    Location: Leeds
To support the business in ensuring it complies with its obligations to regulatory bodies such as the FCA and ICO.

Location: Leeds 15

Salary: Salary: £35,000 - £40,000

Reports to

Head of Compliance
Hours of work

37.5 hours per week (hours of work will be flexible and dictated by the needs of the business. It is expected that the successful applicant will work those hours necessary to successfully discharge the duties of the role).
Key outputs

To provide technical and compliance support to the business in relation to its equity release and mortgage activities

Liaising with the business on all new and on-going projects providing compliance guidance and sign off where required

To carry out or oversee activities set out in the annual compliance monitoring plan across all business areas

Overseeing the day to day financial promotions sign off processes and workload

Overseeing and addressing complaints

Reporting any issues and/or risks to the Head of Compliance as they arise

Producing MI to support all aspects of the work carried out by the Compliance department, including but not limited to the Risk Register, Conduct Risk and Treating Customers Fairly

To provide review and analysis of the impact of all relevant regulation affecting Age Partnership

Line management duties for an established team of Compliance colleagues

To assist with the smooth running of the Compliance department on a daily basis

Support and develop team to ensure they deliver effective risk mitigation across a range of activities

Review changes in regulation and analyse the impact on Age Partnership, making suitable recommendations in relation to any changes required

Review and develop current processes and procedures in line with the strategy of the department as defined by the Head of Compliance

Ensure compliance records are appropriately maintained and to a high standard

Conducting file & call observations in line with the standards of the business identifying any risks and/or training requirements and providing appropriate feedback

Provide information for upward reporting

Other ad-hoc duties as and when required by the business

The Person

Overview

Approachable, organised individual with a proven ability to embrace and develop regulatory process and procedures that underpin a successful culture and environment. An excellent communicator with the ability to interact at all levels. Capable of handling high volumes of work across a range of products and activities whilst retaining a high level of accuracy and detail.

Skills & Knowledge

Essential

With experience of working in a compliance role involving standard setting, process and procedure development, monitoring and reporting across the entire business including administration

Experience of advised and non-advised processes

Experience of mortgage and/or equity release advice

Ability to use Microsoft Office programmes to a competent level

Desirable

Experience of managing a team

Qualifications

General Education

5 GCSEs including Maths and English

Financial services qualifications

QCF Level 4 (Diploma) qualified with proven experience of within the at retirement market place

Desirable

Certificate in Mortgage Advice and Practice (CeMAP) (or MAQ)

Certificate in Regulated Equity Release (CeRER)

CII