Overview
Compliance Advisory Manager role at The Sutta Company. This is a newly created position following the company’s recent acquisition by a leading Financial Services company. You will work closely with the principal firm and with customers under regulated financial agreements, helping the leasing business obtain and maintain FCA permissions. This role involves overseeing compliance and ensuring adherence to laws, regulations, and internal policies.
Responsibilities
* Oversee the organisation's adherence to laws, regulations, and internal policies; act as the primary contact for the Appointed Representative (AR) principal firm.
* Develop and implement a compliance program and monitoring activities; provide guidance to stakeholders and report on compliance status.
* Mitigate risks associated with non-compliance and promote a culture of ethical and responsible conduct.
Job scope
* Develop and implement Compliance Programs including a Compliance Monitoring Plan (CMP).
* Create and maintain comprehensive compliance frameworks, policies and procedures aligned with regulatory requirements and the organisation's risk appetite; perform regular risk assessments and escalate issues to senior management.
* Conduct Monitoring Activities: manage the risk-based annual CMP, assess control effectiveness, conduct audits, and analyze data to identify compliance issues.
* Provide Advice And Guidance: serve as SME for regulatory change, offer timely guidance on regulatory requirements and best practices; support projects and change programs; engage in horizon scanning.
* Reporting And Communication: prepare and present reports on compliance status, findings, and recommendations to senior management and stakeholders.
* Training And Awareness: assess training needs, design and deliver training on key compliance requirements, and promote ethical conduct.
* Investigating And Resolving Issues: investigate potential breaches, develop and monitor corrective actions, and escalate as needed.
* Staying Updated: maintain awareness of regulatory changes and industry best practices, sharing knowledge with stakeholders.
* Collaboration: work with the business, SCUK risk & legal to ensure a cohesive approach to compliance within FCA permissions; participate in SCUK Compliance and Conduct Risk Committee.
Skills And Experience
* Behavioural Competencies
* Analytical and problem-solving skills
* Ability to influence and build relationships
* Ability to work independently and as part of a team
* Excellent communication and interpersonal skills
* Attention to detail and accuracy
* Strong organisational skills and adaptability
* Technical Competencies
* Compliance experience with qualifications in risk and compliance (e.g., ICA, IRM) or equivalent; extensive knowledge of compliance monitoring and CMP development
* Good knowledge of current UK regulation affecting the business and industry
Relationships
* Internal Stakeholders: Managers and Heads of Department; Senior Management Team; SCUK functional colleagues
* External Stakeholders: Principal firms (FCA Permissions); Regulators (FCA, PRA, ICO); Trade Associations (e.g., FLA)
Additional Details
This is a hybrid role: 3 days on-site, 2 days remote. Details can be discussed at interview.
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