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Senior Compliance Manager - Advisory

  • Location: Cheshire
  • Salary: £80,000 - £85,000 per year
  • Job Type:Permanent

Posted about 1 year ago

  • Sector: Compliance
  • Contact: Paul Sherlock
  • Contact Email: psherlock@merje.com
  • Contact Phone: 0161 883 2746
  • Expiry Date: 26 April 2023
  • Job Ref: PS/10140

£85,000 + Bonus + Benefits

Hybrid working – 4 days office / 1 day home

Our client is a highly successful and entrepreneurial Financial Services business, who due to continued success are looking to recruit a Senior Compliance Manager for their Advisory function. Responsible for advice and support to the business on regulatory matters, you will business partner with senior leaders providing independent second line of defence (2LOD) compliance and conduct oversight. Key to the role is providing regulatory and conduct advice to encourage the safe growth and protection for the company, whilst supporting achievement of the Group’s strategy.

The role operates under the direction of the Group Chief Risk Officer (SMF16) and Group Head of Compliance and is part of the Group Risk team covering all risk disciplines.

Key Responsibilities: 

  • Providing the necessary advice and support to the first line, operating within the Compliance Advisory framework, to ensure that both the current and future activity of the company is customer centric and complies with its regulatory obligations.

  • Operate as Business Partner, building relationships with senior leaders in the pre-funding business areas including Product, Sales, Intermediary relations and Underwriting. 

  • Ensure that conduct and regulatory risks are appropriately evaluated and escalated to deliver the right customer and operational outcomes.

  • Support the Group Head of Compliance in contributing to the continuous improvement and development of the Compliance Advisory function and deputising in their absence and where necessary.

  • Oversee regulatory change management to deliver the right customer and operational outcomes first time with appropriate systems and controls. 

  • Provide regulatory and conduct risk opinion on highly complex regulatory and discretionary change projects and programmes at both Steering Committee and Project Working Group levels.

  • Proactively identify operational improvements in the processes, controls, and operating model for the wider Compliance function and specifically the Advisory function and own the successful implementation of these, delivering to a high standard

  • Encourage a positive compliance culture within the business through effective communications (verbal and written) with business stakeholders.

  • Provide business partnering that champion high quality customer outcomes and supports the risk owner in providing appropriate guidance, consultation, and challenge.

  • Ensure appropriate and timely escalation of regulatory and conduct risks and issues.

  • Produce and maintain effective management information relevant to the Compliance Advisory function.

  • Compile ad-hoc reports to support

Essential skills and experience: 

  • Previous experience of working in a Financial Services regulated environment.

  • Previous experience of working in a Mortgage environment or Insurance / Consumer Credit.

  • A natural appetite and inquisitive mind for horizon-scanning that can think laterally about any potential consequences for the company.

  • A natural tendency to interpret a situation and foresee opportunities or risks for the team or company and act and escalate appropriately.

  • Strong written and verbal communication that is articulate, delivered professionally, can influence, negotiate, and generate commitment through appropriate positioning.

  • Computer literate (including MS Excel and Word)

Desirable skills and experience: 

  • Experience of working directly with the FCA on market studies, deep dives, S166 etc.