Senior Compliance Manager

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    over 2 years ago

Long standing, reputable, and well known financial services firm with a variety of products across Investments, Pensions and Insurance and looking to hire a Senior Compliance Manager to be located out of their Head Quarters in the West Midlands.  Being a key member of the compliance management team, the role will be required to provide compliance support to business units to facilitate the effective oversight and management of regulatory risk within the business operations.

Key responsibilities include:

  • Lead the compliance team to ensure that it is providing adequate and suitable support to business units in terms of training and support on FCA regulatory and conduct matters.
  • Ensure the team maintains its focus to support the Compliance Departmental vision of being a respected business partner.
  • To provide direction, guidance and support to 2 grade D Managers.
  • Deputise for the Head of Compliance where required
  • Act in a business partnering role by having regular meetings with business units to cascade FCA developments and provide guidance to business units on regulatory and conduct developments, expectations and requirements
  • Represent compliance at relevant governance and committee meetings
  • Develop and provide reports to governance committees highlighting key compliance risks and issues in a concise and clear manner
  • Identify risks and opportunities and engaging with the business to formulate pragmatic, customer focused and commercial solutions that minimise the risks and maximise opportunities.
  • Provide advice on FCA related matters on business initiatives and projects to support the business in delivering its compliance and conduct responsibilities
  • Deliver formal training across the business on FCA topics and developments and demonstrate the value of compliant outcomes.
  • Escalate risks and issues to the Head of Compliance and other Senior Compliance managers in a timely manner and assist with the implementation of solutions where required.

The Person:

  • Educated to degree standard.
  • Financial Services professional qualification
  • Leadership skills
  • Detailed knowledge of Regulatory requirements affecting Life and Pensions and Insurance
  • Knowledge and experience of systems and controls improvement, design and implementation.
  • Strong leadership skills
  • Strong communication skills including communicating with impact and influence
  • Competent in report writing
  • Ability to lead a team and enable team development
  • Ability to analyse and interpret legislation and regulation and formulate pragmatic, customer facing solutions. 
  • Able to assess risk and determine priorities.

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.