Job Overview

Apply now Our client is one of the UK's leading business finance providers for the SME marketplace, and the largest independent finance house in Wales. They have been providing businesses from all sectors and industries with access to a range of financial solutions; including asset finance, hire purchase, invoice discounting and invoice factoring. Their approach is both personal and entrepreneurial and the management team bring a "can do" attitude to business finance, combining a broker-like mentality with funder capabilities. As a well-established independent lender with a range of services, expansion is set to continue throughout 2017. Responsibilities (include but not limited to): Provide regular reports and management information for the Directors and Board on regulatory and compliance mattersCoordinate the reviews and approvals of regulatory policies by the Directors and/or the BoardProvide guidance on the proper application and interpretation of laws, regulations and policies applicable to the GroupEnsure all compliance policies and procedures are documented and kept up to date. Provide first line business managers with guidanceMonitor, analyse and communicate regulatory changes ensuring the business remains compliant with regulatory requirements (including the FCA Principles for Business, relevant FCA sourcebooks, Data Protection Act, and other trade bodies' codes of conduct). Provide advice on remedial stepsLiaise with external auditors and regulators (where appropriate) to ensure any compliance issues or matters of concern within the business are escalated to senior management and resolved in a timely basisLeading and driving the Compliance team, currently 1 Compliance Officer, to deliver a robust Compliance Risk Management PlanContribute to discussions on new project activities, new business development and/or commercial initiatives providing compliance expertise and advice ensuring regulatory requirements can be met Skills and Qualifications: Extensive knowledge and experience of regulatory complianceIn depth understanding of FCA and AML rules and applicable UK legislationKnowledge and understanding of Operational management, process management and controlProven track record of leading a team to meet objectives; strong, proven leadership and motivational skills with evidence of a commitment to attainment of good practiceIdeally educated to degree standardPC literate / advanced skills in Excel and PowerPoint Is target-driven, self-motivated and tenacious in achieving the set objectives Strong problem-solving skill: identifying, structuring and tackling a problem situation Demonstrates strong interpersonal and influencing skills We strongly favour applicants with proven relevant experience in Financial Services; particularly in Asset Finance and Leasing

Key Requirements

Operational management Regulatory compliance FCA and AML rules and applicable UK legislation process management and control