Senior Compliance Manager

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  • Salary:

    c.£75,000 - £85,000 + Car Allowance + Excellent Benefits

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  • Published:

    over 1 year ago

Our client is a highly reputable and rapidly growing financial services organisation. An excellent opportunity has arisen to join the firm in the role of Senior Compliance Manager supporting and deputising for the Head of Compliance & Conduct Risk. You will be responsible for providing day to day compliance advice and guidance to various stakeholders on compliance related matters and technical issues relevant to the sector.

Key responsibilities include:

  • Support the Certified Individuals in the 1st line through a business partnering model
  • Undertake an annual review of the Compliance and Conduct Risk Framework
  • Promote a culture of compliance across the business by engaging teams in understanding compliance requirements and helping with the design of compliant working practices and customer communications
  • Provide compliance and conduct risk advice and guidance based on sound regulatory requirements
  • Act as a key point of contact for compliance and conduct risk issues
  • Provide advice and guidance to staff in the development and review of operational documents, processes and procedures to ensure effective compliance with the FCA and other regulatory requirements
  • Contribute to robust and effective compliance controls in the organisation
  • Engage with and support the first line Certified Individuals to enable delivery of regulatory developments in a robust manner
  • Provide assessment, challenge and approval of financial promotions in accordance with Bank policy
  • Support the wider compliance team to promote second line oversight activities
  • Proactively engage with key stakeholders and build robust relationships
  • Assist in the assessment of regulatory training and competency requirements of employees, and in the development of internal training courses, as required
  • Attendance at project or other business line meetings representing the Compliance team

Qualifications/Key Skills:

  • ICA Diploma or equivalent Compliance/Risk/Audit qualification (Desirable)
  • The ideal candidate will have significant experience of working in the financial services sector in a Compliance role
  • Proven analytical and reporting skills together with an ability to support decisions with sound reasoning and a high attention to detail
  • Strong stakeholder management experience
  • Strong interpersonal, presentation and communication skills
  • Strong communication, influencing and negotiation skills

Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

To discuss the role in greater detail please contact Paul Sherlock on 0161 883 2746 or send through your CV to psherlock@merje.com