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Compliance Manager- Asset Finance - Reading, Oxfordshire, United Kingdom, RG1


We are recruiting for a growing bank working specifically as a Compliance Manager in their asset finance division.

The Role:

Working within the Compliance Team you will be accountable for delivering rigorous and effective oversight to ensure the business which comprises of six UK legal entities (5 of which are separately regulated by the FCA), and AFG Channel Islands (IAFCI) adheres to all regulatory requirements, including those laid down by the FCA. In addition to provide compliance support you will be responsible for supporting a number of compliance projects which form part of the Operational Strategy Plan for Compliance. You will also 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 the business, and be seen as the main contact for any related queries. It is envisaged that the Data Protection activities will represent around 30% 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 business's systems, procedures and documentation comply with current legislation and FCA requirements
  • Leading by example in all matters relating to Conduct Risk, Data Protection and Information Security
  • Reviewing and providing advice on the business's processes and documentation to ensure that Conduct Risk and TCF are central to all businesses
  • Ensuring that the Internal Audit action points are addressed across the business
  • Develop and maintain expert knowledge of data protection requirements and how they impact the business
  • 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 business including Data Protection
  • 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 business's registrations in conjunction with IBP with the ICO
  • Core skills and knowledge

What you need for the role:

  • 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 that 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