Senior Manager – Compliance (Advice)

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  • Salary:

    £70,000 - £75,000

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  • Published:

    over 1 year ago

Job Description:                               One of the new Banks growing and demonstrating great success in the market, this Bank offers a flexible and personalised approach to bridging loans and secured lending for over 15 years.  The London HQ is now offering more products within the Retail Banking suite and this role is a new position brought about by the growth in the Bank.


Key responsibilities include:

  • Working as part of a small and dynamic team, reporting to the Head of Compliance, you will be responsible for offering expert compliance advisory services with the Bank
  • Responsible for providing regulatory advice to the Bank and ensuring changes to the regulatory environment are continuously monitored and to work with the business to ensure that the bank remain compliant
  • Ensure the Head of Compliance is made aware of any regulatory matters that impact the Bank
  • Produce and present monthly horizon scanning reporting to key committees, including supporting the business to manage and monitor conduct risks
  • Working with the business to recognise and comply with regulatory change
  • Acting as the compliance lead on projects, advising the business from a regulatory and customer outcome perspective
  • Maintain the compliance policy library, ensuring it is up to date and available to all staff
  • Review and approve financial promotions and customer facing documentation
  • Represent the Bank’s compliance function at committees and industry working groups
  • Deputise for the Head of Compliance in their absence



The Person

  • 10 years’ demonstrable experience with a regulated company / regulator
  • A recognised industry qualification
  • Strategic thinker whilst able to manage day-to-day operations
  • Capability to influence senior management as well as more junior members of the team
  • Expert regulatory knowledge in lending (mortgages – MCOBS) – as well as BCOBS, SYSC and PRIN
  • Depth of understanding in relation to the requirements for vulnerable customers
  • Able to interpret regulatory rules and guidance and translate these to the business, making clear the requirements and the risks, alongside monitoring implementation progress
  • Strong communication skills
  • Confident in representing the Bank to regulators and industry bodies