Compliance Manager - The Portfolio Group : Job Details

Compliance Manager - SalesOffice based with travel requiredDriver's License requiredBased in Hinckley

Job Purpose:

The Compliance Manager will be responsible for assessing risks, identifying patterns and trends, and managing overall compliance operations within the company. This includes conducting internal audits, implementing compliance measures, and ensuring adherence to regulatory standards.

Job Overview:

As a Compliance Manager, you will handle various compliance-related issues, focusing on assessing risks and maintaining regulatory standards across the company. This role will involve ensuring that sales processes are compliant, conducting quality assessments, and managing the company's compliance certifications within a FCA regulated environment. You will work closely with senior management and directors to monitor compliance controls and drive improvements in compliance management.

Key Responsibilities:

• Analyse the full sales process to ensure adherence to best practices and regulatory expectations.
• Conduct quality and compliance assessments of Business Development Managers and Field/Office-Based Consultants.
• Oversee the quality assessment process across both field and office-based sales teams.
• Lead compliance investigations, identifying themes and trends to mitigate risks.
• Implement and monitor compliance controls, including spot checks on websites, emails, letters, documents, and processes.
• Maintain and develop current OHSAS 18001, ISO 9001, and ISO 27001 certifications.
• Conduct internal audits of processes, especially those related to the sales process, from a compliance perspective.
• Develop and deliver an education and engagement program for senior management, ensuring clear communication and training on compliance matters.
• Collaborate with Directors to ensure a cohesive compliance strategy across the business.

Skills & Qualifications:

• A proven background in compliance management.
• Strong communication skills, with the ability to tailor your style based on your audience.
• Up-to-date knowledge of regulatory changes and guidelines.
• Strong risk analysis and problem-solving abilities.
• Highly organised with strong attention to detail.
• Commercial acumen, with the ability to apply compliance knowledge practically within a business context.
• A proactive approach with a strategic mindset, offering suggestions for improvement.
• High level of integrity and accountability for achieving results.
• A positive, can-do attitude with involvement in day-to-day compliance management.

48473CH

INDHIN