Compliance Advisory Manager-Conduct & Regulatory Risk

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    £50,000 - £60,000

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  • Published:

    over 1 year ago

Financial services business, located in the West Midlands, are looking to hire a Compliance Advisory Manager Conduct & Regulatory Risk.  The role holder will be an integral part of the Compliance Advisory team, and will be required to maintain a strong knowledge of the business and its regulations and provide regulatory guidance and advice to the Business.

Key responsibilities include:

  • 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.
  • Prepare and provide regulatory MI for governance committees and senior management.
  • 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.
  • Working with Business stakeholders to ensure the timely submission of regulatory returns.
  • Provision of ad-hoc and induction regulatory training to internal stakeholders.

The successful candidate will possess:

  • Meaningful experience in a Compliance Function preferably within a retail lending 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.
  • Commercial, business focussed with strong judgement and integrity
  • 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.
  • IT literate with good knowledge of Microsoft Office packages, particularly Excel and Word
  • Articulate and diplomatic, with strong negotiation and influencing skills with the ability to display a range of influencing styles and stakeholder management skills.


Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.