Regional Compliance Manager - ref. t74401403
Slough
A fast paced, expanding, successful, financial services organisation is looking for a Regional Compliance Manager to join its compliance team.
The Regional Compliance Manager (South) is a field based role that will spend the majority of its time visiting retailers in order to ensure that intermediary oversight obligations are met and products are being sold appropriately.
Previous experience of compliance is essential, with experience of dealerships within the automotive industry being very advantageous.
This role is Field based and subsequently, there may be a requirement for travel, overnight stays and periods away from home.
Key responsibilities- To verify that the regulatory requirements for on-boarding a new Retailer / Broker are met
- Where any compliance issues arise, follow them up with the respective Retailers / Brokers.
- To carry out on-site compliance audits with Retailers and Brokers
- To draft compliance audit reports for each Retailer / Broker
- To discuss the final reports with the Compliance Manager before sharing with the Dealer / Broker Principal, giving also advice / recommendation of any corrective actions.
- To perform follow up activities on the execution of the action plan.
- Previous experience in Compliance or Internal Audit roles is a must.
- Knowledge of the automotive, car finance, car leasing and dealerships is desirable
- Car
- 25 days holiday
- Pension
- Family BUPA
- Eye care vouchers
- Reward recognition programme
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Employment Type: Full-time
Hybrid: 3 days in office 2 days WFH
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