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Compliance Manager - FCA

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Octopus Energy

1mo ago

  • Job
    Full-time
    Mid & Senior Level
  • London
  • Quick Apply

AI generated summary

  • You must have extensive knowledge of FCA regulations, strong analytical skills, experience in compliance management, excellent communication abilities, and a proactive approach to problem-solving.
  • You will ensure adherence to FCA regulations, monitor compliance practices, conduct audits, provide guidance to teams, and manage risk assessments to uphold regulatory standards.

Requirements

  • - Strong working knowledge of the FCA's CONC, DISP, SYSC, PRIN, COCON handbooks and the requirements under the Senior Managers and Certification Regime requirements
  • - 3-5 years of experience in financial services regulation or compliance
  • - In-depth knowledge of FCA regulations and the authorization process for brokerage firms
  • - Excellent project management and communication skills
  • - Analytical mindset with strong attention to detail and accuracy
  • - Experience in policy writing and implementation

Responsibilities

  • Support the preparation and submission of the FCA application for brokerage authorization including all supporting senior manager and certified staff paperwork, ensuring all documentation is complete and accurate
  • Collaborate with various departments to gather necessary information and data for the application
  • Review and update company policies and procedures to ensure compliance with FCA requirements
  • Liaise with FCA representatives and address queries throughout the application process
  • Prepare regular progress reports for the Head of Compliance and CFO
  • Assist in developing a post-authorization compliance framework
  • Support the training of staff members on new policies and regulatory requirements
  • Contribute to the company's regulatory strategy in the context of its low carbon technology focus

FAQs

What is the primary responsibility of the Compliance Manager at Octopus Energy Services?

The primary responsibility of the Compliance Manager is to support the preparation and submission of the FCA application for brokerage authorization, including ensuring that all documentation is complete and accurate, collaborating with various departments, and liaising with FCA representatives throughout the application process.

What qualifications are required for the Compliance Manager position?

Candidates need to have a strong working knowledge of the FCA's CONC, DISP, SYSC, PRIN, COCON handbooks, as well as 3-5 years of experience in financial services regulation or compliance. In-depth knowledge of FCA regulations and the brokerage firm authorization process is also crucial.

What types of projects will the Compliance Manager be involved in?

The Compliance Manager will be involved in various projects, including preparing the FCA application, developing a post-authorization compliance framework, and contributing to the company's regulatory strategy in alignment with its focus on low carbon technologies.

Are there opportunities for growth within this role?

Yes, the Compliance Manager role offers opportunities for growth, including the potential to support the training of staff on new policies and regulatory requirements, and to influence the company’s regulatory strategy as it relates to its mission in renewable energy.

What is the company culture like at Octopus Energy Services?

Octopus Energy Services is known for its unique culture where employees work with autonomy on innovative projects, learn and decide quickly, and are rewarded with perks that matter to them. The company values honesty and empathy, aiming to create an inclusive work environment.

How does Octopus Energy Services approach salary for this position?

Octopus Energy Services is flexible with salaries and encourages candidates to discuss their salary expectations during the recruitment process to ensure a good match between experience and compensation.

What can candidates expect in terms of support during the interview process?

Octopus Energy Services is committed to ensuring candidates have the right tools and environment to unleash their potential. They offer to customize the interview process to accommodate any specific needs to ensure comfort and effectiveness.

Is Octopus Energy Services an equal opportunity employer?

Yes, Octopus Energy Services is an equal opportunity employer and does not discriminate based on any protected attributes. They are dedicated to creating an inclusive work environment and providing equal opportunities for all candidates.

Octopus Energy

Here to make a big green dent in the universe.

Energy
Industry
501-1000
Employees
2015
Founded Year

Mission & Purpose

We're on a mission to make a big green dent in the universe by building a truly sustainable energy system globally. That means making power greener, smarter, and more affordable for everyone. We put customers at the heart of everything we do: with always-fair prices, transparency and outrageous customer service. We drive system change: with transformative tech to make renewable energy the norm and end global reliance on fossil fuels. Octopus Energy Group is made up of 10 businesses spanning 6 countries across 3 continents, including: Octopus Energy Retail, Kraken Technologies, Octopus Energy Generation, Kraken Flex, Octopus Electric Vehicles, and the Octopus Centre for Net Zero.