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Overview
Compliance Monitoring & Advisory Manager – a market leader within vehicle leasing and management solutions – is seeking a Compliance Manager. This is a newly created role to help the organisation achieve FCA permissions and oversee compliance for the Appointed Representative / permissions framework. This is a hybrid role: 3 days on site and 2 days working from home, with negotiation possible at interview.
Role Responsibilities
* Oversee the organisation's adherence to laws, regulations, and internal policies and act as the primary point of contact for the Appointed Representative (AR) principal firm.
* Develop and implement the compliance program and monitoring activities; provide guidance and advice to stakeholders; report on compliance status; 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 frameworks, policies, and procedures aligned with regulatory requirements and risk appetite.
* Conduct monitoring activities: manage the annual CMP, assess control effectiveness, perform audits, and analyse data to identify compliance issues.
* Provide advice and guidance as SME for regulatory change; support projects and change initiatives; engage in horizon scanning and regulatory developments.
* Reporting and communication: prepare and present reports on compliance status, findings, and recommendations to senior management.
* Training and awareness: assess training needs, create and roll out relevant training, and promote ongoing education on compliance requirements.
* Investigate and resolve issues: work with stakeholders to investigate breaches, implement corrective actions, and escalate as needed.
* Stay updated on regulatory changes and industry best practices; share knowledge with stakeholders.
* Collaboration: coordinate with the business’s principal firm, SCUK risk & legal, to align with 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; autonomy and teamwork; excellent communication and interpersonal skills; attention to detail; strong organisational skills and adaptability.
* Technical Competencies: applicable compliance experience with qualifications in risk and compliance (e.g., ICA, IRM or equivalent); strong knowledge of Compliance Monitoring activities and CMP development; good understanding of current UK regulations affecting the business.
Relationships
* Internal Stakeholders: Managers and Heads of Department; Senior Management Team; SCUK risk & legal.
* External Stakeholders: Principal firms (FCA permissions); Regulators (FCA, PRA, ICO); Trade associations (e.g., FLA).
Location and Working Pattern
This is a hybrid role with on-site and remote work. Details to be discussed at interview.
Seniority level
* Mid-Senior level
Employment type
* Full-time
Job function
* Finance
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