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Compliance Manager (Hybrid)

  • Location: Birmingham
  • Salary: c.£50,000 + Benefits per year
  • Job Type:Permanent

Posted about 1 year ago

  • Sector: Compliance
  • Contact: Paul Sherlock
  • Expiry Date: 04 March 2023
  • Job Ref: PS/19905

​Our client is a leading Financial Services firm who are keen to recruit a Compliance Manager, reporting to our Head of Regulatory Risk to join their highly experienced Compliance and Risk team. In this role you will be at the forefront of complex regulatory change adding value to the business by providing real-time advice and compliance subject matter expertise across the business include regulated product areas (mortgages, equity release, protection, general insurance) and conduct risk, systems and controls and TCF.

Responsibilities of the job include:

• Keeping up-to-date with external regulatory requirements and ensuring that the policies followed by the Network and its ARs are up to date and reflect the Network’s risk appetite.

• Delivery of compliance related projects, or compliance elements of wider business projects.

• Identification of emerging regulatory themes, and the provision of advice to the business on the risks and opportunities presented by these.

• Design and production of policy materials, guidance, briefings and communications required to execute the above and to embed a ‘compliance culture.’

• Oversight and implementation of Network policy in relation to regulatory reporting and communication of exceptions to policy through the governance framework.

• Provision of Compliance Subject Matter Expertise and advice and guidance to the business, including to business change and development programmes and projects.

• Identification and reporting of breaches of procedure.

• Considering the principles of Treating Customers Fairly (TCF) and to operate in a way that puts the customer first.

Requirements:

• Good understanding and knowledge of the FCA rule books (COBS, MCOBS, ICOBS, SYSC, SUP, PRIN, DISP, MIPRU & PERG) and their implementation.

• Good understanding of Conduct and Regulatory risk, as well as knowledge of the Three Lines of Defence model.

• Knowledge of SMCR, risk, governance and compliance frameworks, regulatory rule and reporting,

• Demonstrable experience of supporting delivery of complex compliance and business related projects

• Capability to complete gap analysis of policy and guidance against FCA rules and requirements.

• 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.

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