My client is on the lookout for a COMPLIANCE MANAGER to play a key role in the delivery of the compliance framework, with a strong focus on providing hands-on regulatory and compliance advice to the business, alongside maintenance of the day-to-day compliance activities including delivery of the annual compliance monitoring plan.
Key Role Responsibilities:
- Work cross-functionally to deliver pragmatic compliance advice, ensuring any product and service changes comply with relevant FCA rules and regulations
- Conduct regulatory horizon scanning, providing balanced and practical advice to the business on the new and/or evolving regulatory landscape
- Translate regulatory requirements into internal policies that are appropriate, proportionate and fit for purpose, and easy to understand for a non-compliance audience
- Promote a healthy, customer-focused culture that adheres to Consumer Duty standards
- Act as a “critical friend” to the business, ensuring that the compliance team is viewed positively and engaged with along all stages of the journey
- Conduct compliance monitoring and outcomes testing according to the overall compliance monitoring plan, escalating findings and recommending / tracking remediation
- Support internal and external audits, due diligence and contract reviews
- Assist with regulatory reporting and administration duties
- Deliver compliance training and advise on mandatory training requirements
- Advise on and support the firm’s SMCR arrangements, including relevant certification processes and the associated maintenance of the FCA directory
Key Skills & Experience Required:
- Significant compliance experience gained within an FCA-regulated financial services firm (consumer credit and/or fintech experience a distinct advantage)
- Good working knowledge of the UK regulatory frameworks applicable to the business - including Consumer Duty, SMCR, CONC and DISP
- Ability to provide clear, practical regulatory advice and constructive challenge to the business
- Considerable compliance monitoring and outcomes testing experience,
- Excellent written and verbal communication skills, and strong attention to detail
- Comfortable managing multiple priorities in a fast-paced and evolving environment
- Ideally experienced in SMCR administration (certifications, fitness and propriety assessments)
- Some exposure to financial crime frameworks (e.g. SAR reviews, MLRO support)
- Relevant professional qualification (e.g. ICA Certificate/Diploma in Governance, Risk and Compliance) would be appealing
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