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Conduct Risk & Advice Manager

  • Location: Birmingham
  • Salary: £40,000 - £50,000 per year
  • Job Type:Permanent

Posted 19 days ago

  • Sector: Front-Line Talent
  • Contact: Mike Ayres
  • Expiry Date: 03 November 2021
  • Job Ref: MA/18117

​Role Purpose

Financial Services business within the Retail Banking sector are looking to hire a Compliance Manager to join their Advisory team to focus on the firms Conduct regulatory requirements. The key purpose of this role is to deliver practical and clear guidance to the business on how to effectively meet new and existing conduct regulatory requirements in a rapidly changing regulatory environment.


• Act as compliance representative on key business and regulatory projects and initiatives, providing advice and proactive challenge to ensure regulatory and conduct compliance and fair customer outcomes.

• Be a professional source of knowledge in the regulatory and conduct environment, being able to provide advice and identify potential solutions to issues as they arise.

• Provide second line challenge and support in relation to business conduct risk events, ensuring customers are treated fairly

• Oversee the approval of financial promotions at the Groups subsidiary company, providing advice and support where required. -

• Provide members of the Group with specialist technical conduct regulatory interpretation and the on-going support and advice on wider FCA-related regulatory themes.

• Write and present compliance reports including summaries of appropriate papers issued by the regulator identifying the potential impact on the Business.

• Contribute to the development and maintenance of the regulatory and conduct risk frameworks, Compliance Universe, policies and procedures and ensuring that consistent standards are applied across the Group through effective communication and advice.

Candidate requirements:

• Experience in a compliance or conduct risk role within the financial service industry is essential.

• Experience undertaking a role involving the identification and interpretation of emerging conduct regulatory requirements and providing associated advice is essential.

• Previous experience with retail banking products and services is desirable.