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Regulatory Conduct & Advisory Manager (Hybrid)

Posted 7 months ago

  • Sector: Compliance
  • Contact: Paul Sherlock
  • Contact Email:
  • Contact Phone: 0161 883 2746
  • Expiry Date: 13 April 2023
  • Job Ref: PS/10090

Hybrid working: Ideally 2 days per week in Edinburgh or Newcastle offices but 1-2 days per month is realistic.

Our client is a faced paced Bank who are going through a large restructure and consequently recruiting across several functions.

An excellent opportunity has arisen to join the firm as a Regulatory & Conduct Advisory Manager. In this role you will provide advice and guidance to the Value Stream and Customer and Customer Service functions on regulatory and conduct related matters, to help ensure the delivery of good customer outcomes and business objectives.

The Role

  • Supporting and advising the business on the interpretation and practical application of regulatory matters, resolving complex or contentious queries and issues quickly and enabling others to take appropriate actions

  • Monitoring and reviewing, approaches, performance, and behaviours within the area(s) of responsibility to identify and resolve non-compliance with the organisation's policies and relevant regulatory codes of conduct, providing advice and recommendation on appropriate resolution

  • Exploring and developing a detailed understanding of external regulatory matters, new developments or emerging issues and evaluate their potential impact on, or usefulness to, the organisation

  • Providing support in the approach to and implementation of new regulations, ensuring this is proportionate and reflective of business model complexity, market responses and risk appetite. Proving on-going support to key stakeholders throughout design and delivery.

  • Supporting with regulatory and industry body requests for information, engaging with key stakeholders to ensure appropriate lead time for collation, assessment and sign-off prior to submission.

  • Developing stakeholder engagement through identifying key stakeholders, finding out their needs/issues/concerns and reacting to these to support the delivery of target outcomes.

  • Developing and proposing own performance objectives; take appropriate actions to ensure achievement of agreed objectives, using the organization's performance management systems to improve performance.

Required experience:

  • FCA Compliance experience across areas such as BCOB / ICOB / MCOB / CONC.

  • Conduct Risk and Customer Outcome experience.

  • Good stakeholder engagement.

  • Ability to make compliance and regulation comprehensive to a broad audience.