Regulatory Risk & Compliance Manager

  • Location


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  • Salary:

    £50,000 - £60,000

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  • Published:

    about 2 years ago

This business is a specialist lender about to launch as a start-up Bank and gain authorisation for new

products into the financial services market.  The key purpose of this role is to provide oversight,

maintenance and development of the regulatory risk and compliance framework, systems and controls. 


Key responsibilities include:

  • Co-ordinating, undertaking and reporting on compliance reviews and oversight activities

  • Maintaining and monitoring Risk and Compliance Policy, adherence and alignment to regulation

  • Maintaining regulator reporting requirements

  • Completion of Anti Money Laundering reviews and Audits

  • Maintaining the Financial Crime policy, adherence and oversight activities

  • Interpret and disseminate regulatory changes and information, including horizon scanning

  • Providing advice in relation to the interpretation of the regulatory rules and propose solutions

  • Management of compliance risk with the Banks’ governance processes

  • Developing and maintaining risk and compliance training plans and monitoring adherence

  • Keep up to date with industry knowledge to ensure appropriate competency levels are maintained

  • Be familiar with the business and current regulatory compliance initiatives in a way that is likely to meet with FCA expectations



The Person

  • C.5 years operating within the UK regulator, advisory practice or at management / supervisory lev el with Retail banking and UK Financial Services

  • A regulatory compliance specialist

  • Risk and Compliance management experience

  • In depth knowledge of operating in a B2C or B2B lending business

  • Experience in the development and practical deployment of change processes and rule mappings to facilitate compliance with the Bank’s systems and controls framework

  • Effective verbal and written communication skills

  • Management of multiple stakeholders at various levels

  • Ability to work under pressure and to meet deadlines

  • Detail oriented

  • Takes initiative with a ‘can-do’ attitude