Compliance Manager

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  • Salary:

    £50,000 - £55,000 + Benefits

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  • Published:

    almost 3 years ago

My client is a global financial services’ business who because of significant business growth, have a unique opportunity for a Compliance Manager to undertake a key role within the organisation.

With a focus on Mortgages, the role offers a real opportunity for an experienced and knowledgeable individual to support the business, delivering technical compliance expertise across the range of business activities, including sign off to financial promotions and other customer documentation. The role is key ensuring all statutory and regulatory requirements are complied with in accordance with industry best practice standards.

Key Responsibilities:

  • Day to day compliance advice and oversight of group business activities, including a focus on supporting the business in conduct risk matters.
  • Support the Risk & Compliance Director design, implement and maintain an appropriate governance structure across the group to support the delivery of its strategic objectives and risk appetites.
  • Confident, supportive and collaborative discussions with Clients, Servicer, third party suppliers and colleagues on regulatory change and/or issues arising, including where appropriate, challenging other’s views.
  • Ensuring appropriate oversight / approval of any change requests where regulatory risk and/or compliance matters are evident, including reviewing MI on conduct risks matters to pro-actively identify areas for further consideration by the business.
  • Supporting the business by timely response to queries raised, identifying generic or specific issues and ensuring the correct resolution of those queries.
  • Providing compliance sign off to financial promotions and other customer documentation, maintaining appropriate governance and record-keeping processes to evidence these.
  • Supporting the business in developing new business activities through engaging in meaningful open dialogue with colleagues which may include contributing to any response to Client RFP’s and/or risk assessments of new initiatives /products/internal changes.
  • Working with colleagues on data protection matters, including performing Privacy Impact Assessments, reviewing processes and documentation for GDPR compliance and liaising with monitoring team on reviews in the data protection area.
  • Other key responsibilities will include establishing successful working relationships with Clients, Servicer’s, third party suppliers and colleagues through appropriate working methods to ensure all compliance issues are known and understood with plans in place to address them where appropriate.

Key Requirements-    

  • The ability to use a wide range of analytical tools as well as project planning techniques.
  • Given a constantly evolving business and environment, change management and the ability to understand the commercial and organisation impacts on the risk profile.
  • Excellent interpersonal and presentation skills, persuasiveness and communication: both written and verbal.
  • Strong analytical skills with attention to detail.
  • Demonstrable leadership skills.
  • Proven organisational capabilities.
  • Strong PC literacy.


  • Detailed knowledge and exposure to regulatory risks within the mortgage industry.
  • Understanding of FCA Handbook primarily MCOB, SYSC & PRIN and their application.
  • Extensive experience of working in a compliance role in the financial services sector.
  • Successful proven experience of influencing and engaging internal and external management at senior levels to deliver regulatory compliant risk solutions.
  • Knowledge and experience of data protection preferred, but training will be offered to support development in this area if required


Salary range is broad and commensurate with experience but will reflect the significance of the role. As well as a competitive salary, they offer an excellent benefits package with a fantastic working environment.