At a Glance
- Tasks: Lead compliance initiatives and ensure regulatory frameworks are robust and effective.
- Company: Join a dynamic retail financial services client in Berkshire.
- Benefits: Enjoy 25 days annual leave, health benefits, and a company car scheme.
- Other info: Opportunity for career growth and regular travel across the UK.
- Why this job: Make a real impact on compliance and customer outcomes in a fast-paced environment.
- Qualifications: Experience in compliance management and strong knowledge of FCA regulations required.
The predicted salary is between 65000 - 80000 £ per year.
Birchlake Recruitment is delighted to be partnering with a brand new retail financial services client in the search for a Senior Compliance Manager to join their UK Compliance team based in Berkshire. This is an excellent opportunity for an experienced compliance professional with a strong background in financial services regulation who is passionate about embedding robust compliance frameworks, supporting regulatory change, and driving positive customer outcomes across a complex regulated business.
The Role
Reporting to the Head of Compliance & MLRO, you'll play a key leadership role in maintaining and developing the Compliance Framework across the organisation's UK entities. You'll provide day-to-day leadership to the Compliance team, oversee second-line compliance monitoring activities, support intermediary oversight, and ensure new regulatory requirements are effectively implemented. Acting as deputy to the Head of Compliance where required, you'll work closely with senior stakeholders across the business while balancing strategic oversight with hands-on operational delivery. This hybrid role also includes regular UK travel to support Regional Compliance Managers, undertake compliance reviews, engage with retailers and business stakeholders, and represent the Compliance function across the organisation.
Key Responsibilities:
- Support the Head of Compliance & MLRO in maintaining and enhancing the Compliance Framework across all UK entities
- Deputise for the Head of Compliance where required
- Lead, coach and develop Regional Compliance Managers and the wider Compliance team
- Oversee departmental workload, ensuring compliance activities are delivered to a high standard and within agreed timescales
- Develop and deliver the annual Compliance Monitoring Plan
- Oversee second-line compliance monitoring across all business areas
- Conduct thematic reviews and targeted compliance assessments where regulatory risks are identified
- Monitor remediation activity and provide reporting to senior management
- Manage and continuously improve the Intermediary Oversight Framework using a risk-based approach
- Oversee retailer, broker and appointed representative compliance audits
- Review audit findings, recommendations and remediation plans to ensure consistency and quality
- Support regulatory change programmes and compliance workstreams across business projects
- Assist with FCA reviews, regulatory requests and implementation of regulatory action plans
- Prepare reporting for Compliance Committees, Executive Committees and Boards
- Build strong relationships with Sales, Operations, Risk, Legal, Internal Audit and wider business stakeholders
- Promote a positive compliance culture through advice, training and ongoing stakeholder engagement
About You
You'll ideally have experience in one or more of the following:
- Compliance Management
- FCA Regulatory Compliance
- Consumer Duty
- Compliance Monitoring
- Intermediary Oversight
- Regulatory Change
- Conduct Risk
- Financial Services Compliance
- Governance & Regulatory Reporting
You'll also possess:
- Significant experience within a Compliance, Risk or Internal Audit function in Financial Services
- Strong working knowledge of FCA regulation, Consumer Duty and the UK regulatory framework
- Experience leading second-line compliance monitoring programmes
- Experience overseeing intermediary or third-party compliance arrangements
- Proven leadership experience with the ability to coach, develop and motivate teams
- Excellent stakeholder management skills with the confidence to influence at all levels of the business
- Strong analytical and problem-solving abilities with excellent attention to detail
- Outstanding written and verbal communication skills, including experience preparing reports for senior management and governance committees
- Excellent organisational skills with the ability to manage multiple priorities in a fast-paced regulatory environment
- A proactive and collaborative approach with the ability to balance strategic thinking and operational delivery
- Willingness to travel regularly throughout the UK
- A full UK Driving Licence
What's on Offer
Benefits include: 25 days pro rata annual leave (rising with LOS up to 30 days), Bupa, Simply Health, Company car scheme, Discretionary car allowance, Discretionary bonus.
Apply today or contact Birchlake Recruitment for a confidential discussion.
Senior Compliance Manager in Slough employer: Birchlake Recruitment
Join a dynamic and innovative fintech company as an Interim Compliance Officer, where you will play a crucial role in ensuring regulatory adherence within a fast-paced investment platform. Our collaborative work culture fosters professional growth and offers competitive daily rates, alongside opportunities to make a significant impact in the industry. Located in a vibrant area, we provide a supportive environment that values your expertise and encourages continuous development.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Manager in Slough
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Birchlake Recruitment looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Compliance Manager in Slough
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Birchlake Recruitment. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Birchlake Recruitment
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Birchlake Recruitment’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
