Senior Manager-Compliance Advice

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  • Salary:

    £55,000 - £65,000 pa + Excellent Benefits

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  • Published:

    2 months ago

Role Overview

Specialist lending business, located in the West Midlands, are looking to hire a Senior Compliance Manager to  provide practical and clear advice and guidance in relation to new and existing FCA conduct regulatory requirements.  Reporting to the Head of Policy and Advice, the role will also have responsibility to manage the day to day activities of the compliance advice team.

Key responsibilities include:

  • Provide direction and leadership to the Compliance Advice Team to ensure efficient and effective delivery of compliance advice to the business.
  • Support the development of the compliance culture of the organisation by ensuring the servicing and origination platforms’ (covering, mortgages and savings) policies, processes, procedures and training meet with applicable conduct regulations and drives good customer outcomes.
  • Identify the implications of conduct risk and associated conduct regulations on the business and write and present Impact Analyses/Summaries of appropriate papers issued by the regulator.
  • Represent the Compliance function on key business/regulatory projects and initiatives providing specialist technical conduct related interpretation, advice and challenge. Ensure the requisite assistance is provided for technical regulatory matters and wider FCA related conduct risk issues.
  • Advise key business stakeholders and project teams on the scope and implications of conduct regulation, identification and management of associated conduct risks and the organisation’s compliance policies.
  • Lead and manage day to day processes, staff and risks within the Compliance Advice Team efficiently and effectively and to optimise business performance.
  • Ensure that you and your team understand and comply with the organisation’s Risk Management Policies as they relate to your area of responsibility and demonstrate in your day to day work that you put customers at the heart of everything you do.
  • Advise on any changes needed to Compliance Policies.
  • Maintain the company’s compliance standards and ensure timely completion of all mandatory on-line training modules and attestations.
  • Approve Financial Promotions and other marketing/customer facing materials.

Candidate Requirements:

  • Previous work experience in a Compliance Advisory Managerial role
  • Knowledge of regulatory requirements for originating / servicing mortgages
  • Experience of embedding the principles of conduct risk
  • Knowledge of relevant FCA Regulations/Framework in respect to conduct risk and customer outcomes
  • Robust knowledge of Mortgages and Savings Products

Basic salary up to £65,000 depending upon experience, with the business offering an excellent benefits package to include annual bonus, 8% pension contribution, private medical insurance, generous holiday allowance and many more financial and non-financial benefits.

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.