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Placido Recruitment Consultants
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Bishop's Stortford, Hertfordshire
Compliance Manager / Data Protection Officer
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Job Type: Full-time |
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Salary: £25,000 per annum |
Overview
We are searching for a Compliance Manager / Data Protection Officer to join a finance organisation based in Bishop's Stortford. Working within the Compliance Team you will be accountable for delivering rigorous and effective oversight to ensure that the firm adheres to all regulatory requirements, including those laid down by the FCA. The business consists of two separately FCA regulated entities. You will help to ensure key operational and regulatory risks are understood and an appropriate framework is maintained to manage and control them. An essential part of the role will be to take responsibility for Data Protection, act as Data Protection Officer for both entities and be seen as the main contact for any related queries. It is envisaged that the Data Protection activities will represent around 25% of the role. In addition, the key responsibilities are: To provide compliance advice to support the business unit on a day to day basis Ensuring that the firm’s systems, procedures and documentation comply with current legislation and FCA requirements Leading by example in all matters relating to Conduct Risk, Financial Crime, Data Protection and Information Security Reviewing and providing advice on the firms processes and documentation to ensure that Conduct Risk and TCF are central to all of the entities businesses Develop and maintain expert knowledge of data protection requirements and how they impact across the two businesses Establish the framework for data protection compliance and update as necessary Advise on the practical implementation of data protection framework Assisting with the delivery of training across the firms Provide regulatory advice and guidance Investigate data breaches/events and advise on remediation Facilitate the exercise of data subject rights e.g. manage the response to data subject access requests Manage the firm’s registrations Provide technical/advisory lead on Financial Crime related matters Ensuring compliance with FCA and Money Laundering Rules 2017, and other relevant legislative requirements Fulfils the role of Nominated Officer for the businesses Supports monthly Management Information and Reporting to various governance committee’s Ensuring that the firm’s systems, procedures and documentation comply with current legislation and FCA requirements The business fully meets its statutory and policy obligations in respect of SAR reporting and all MLRO specific obligations are fulfilled, and appropriate records/evidence retained. All regulatory returns are completed through the GABRIEL system on time which truly reflects the business being conducted Governance and Management Information to all relevant committees across the business are completed when required Regulatory changes are effectively positioned with the business, and clear steps agreed to implement a fully compliant operating model The business keeps up to date with all relevant and legislative changes and raise potential emerging risks with line management Responsibilities regarding Fairness to Consumers, the Prevention of Financial Crime (including money laundering, identification and reporting of fraud) are carried out effectively and in accordance with internal policies. The role holder will need to process: Excellent verbal and written communication skills Previous experience in working for an FCA regulated firm Working knowledge of regulatory sourcebooks including Data Protection Laws Previous experience in a review-oriented position, e.g. audit, quality control, compliance monitoring etc. Self-starter and team player Happy to work with different and sometimes conflicting stakeholders Experience of supporting as well as managing compliance projects To act with integrity at all times and embrace the philosophy of treating our customers fairly Any other attributes would be helpful, but not essential for the role: Ideally hold a professional compliance qualification or equivalent Specialist knowledge in the asset finance sector would be a distinct advantage.