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Head of Compliance.
About the Company.
Established in 2013, Product Partnerships Ltd (PPL) is an outsourced compliance company supporting a variety of well-known high street retail firms within the motor, furniture, leisure & fitness, and technology sectors.
Their propositions are predominantly B2C transacting through retail bricks and mortar, online, and omni-channels, offering consumer credit products to facilitate the purchase of their products and services.
We have an experienced and highly skilled team of professionals who understand our clients and Appointed Representatives’ (AR) needs well and are passionate about delivering high levels of personal service to create good customer outcomes.
As part of our continuing growth plans, we are seeking to strengthen our already highly experienced team by recruiting a Head of Compliance to work closely with our newly appointed Managing Director and lead the compliance team.
About the role.
To ensure that the company is conducting its business in-line with the Financial Conduct Authority’s (FCA) rules and guidelines with emphasis on the consumer credit sourcebook (CONC), and relevant national and international laws.
Operate with high professional standards, accepted business practices, with a high attention to detail.
Have high ethical standards with the ability to challenge thinking and always place the consumers best interests at the forefront of what we do.
You must act honestly, in the best interests of the company, and with reasonable care at all times.
Support the Board in defining its risk appetite, monitoring the risk register, and defining the CMP to further identify and minimise risk.
Have overall responsibility for the compliance management program (CMP) that fits within the Company’s compliance oversight and constantly review the outputs adapting the CMP based on the outputs and risks associated.
You must be obsessed with good customer outcomes and drive a culture that underpins the FCA’s principles; Treating Customers Fairly (TCF) is at the forefront of all you do.
About your responsibilities:
To maintain certification as a ‘fit and proper person’ under the FCA’s Certified Persons regime.
Working with the Board to design the Risk Oversight plan.
Design, ongoing control, and analysis of the CMP and its outputs.
Detailed due diligence and on-boarding of all new Appointed Representatives prior to handover to the account management team.
Regulatory updates to the PPL Team, our Appointed Representatives and clients including the associated business impact taking appropriate action and leading projects where necessary.
Maintain the Company’s risk register and associated activity informing the Board of changes and making recommendations to mitigate.
Be a key member and contributor to the Compliance and Risk Committee (CARC).
Attend client meetings to support the team and our clients with technical matters and advise accordingly and lead the audit function for our AR network.
Lead the compliance team and function which includes employed staff and contractors.
Support and work closely with the Managing Director being a key driver of the culture of the business.
Lives within easily commutable distance of Leeds City centre.
Willingness to be ‘hands on’ and able to grow with the business.
Positive leadership skills.
Strong people management skills both line reports and any client / AR facing interactions.
Strong organisational skills to manage all client/ AR facing tasks and the CMP.
Solid interpersonal and communication skills with ability to communicate at many levels.
Good influencer with ‘can do’ collaborative team ethics.
Ability to analyse data and present in a concise and relevant manner.
Ability to interpret the regulators principles-based regime and translate into pragmatic solutions
Detailed technical experience of retail consumer credit including, but not exclusive to:
FCA full and limited applications and variations of permissions.
Gabriel submissions for the Company and support for its clients.
Financial promotions sign off and detailed understanding of the FCA’s regulations.
Complaint’s oversight, monitoring and any interactions with the Financial Ombudsman Service (FOS).
Senior Manager Conduct Rules regime.
What’s on offer:
Full time permanent role.
25 days holiday plus statutory bank holidays.
Negotiable basic DOE.
Discretional bonus scheme TBC based on risk oversight and management of the CMP activity.
Personal private health.
This is a circa. 20% field and 80% office-based role outside of COVID-19 restrictions
Where we're located
Working at PPL
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