Compliance Advisory Manager-Conduct & Regulatory Risk

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  • Consultant:

    Michael Ayres

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  • Published:

    14 days ago


Expanding, ambitious and well known Financial Services firm operating within the Retail Lending / FS space are looking to hire a Compliance Advisory Manager to be based in their West Midlands based head office.  The position will report directly to the Senior Manager Compliance Advisory Conduct & Regulatory Risk, with the role holder being an integral part of the Compliance Advisory team.  The individual will be required to maintain a strong knowledge of the firm and its regulations and provide regulatory guidance and advice to the Business.


  • Act as the dedicated regulatory Business Partner for the assigned business areas, providing the functions with timely and relevant regulatory advice, guidance and training to enable them to implement and adhere to regulatory requirements.
  • Identify and review key regulatory changes (horizon scanning) impacting the business, prepare business impact assessments and work with stakeholders to implement the changes.
  • Support the Business to implement projects and internal change programmes by providing compliance guidance and advice to stakeholders.
  • Review & sign off literature and other marketing materials whilst having regards to the FCA Financial Promotions rules and regulatory guidance as well as ASA Standards, CAP codes etc.
  • Overseeing the resolution of regulatory incidents to ensure issues are resolved effectively and in a timely manner
  • Developing and drafting new compliance policies and procedures to strengthen the second line compliance function.

Experience Required:

  • Meaningful experience in a Compliance Function preferably within a retail financial services environment
  • Sound technical regulatory knowledge across the various FCA and relevant PRA rule books covering conduct and compliance regulation
  • Experience of representing Compliance at project meetings and governance forums.
  • Excellent oral and written communication, facilitation skills and ability to present confidently and to work effectively with staff and management at all levels and to engage and manage stakeholders, developing effective relationships internally and externally.
  • Articulate and diplomatic, with strong negotiation and influencing skills with the ability to display a range of influencing styles and stakeholder management skills.