Senior Compliance Manager

Compliance Manager – Product Responsibilities

• Shaping new propositions directly with the business, driving a compliant and innovative approach within new product offerings.
• Working within regulatory requirements to write, review and challenge regulatory submissions such as business plans, policies and applications.
• Reviewing and updating policies, monitoring and governance frameworks helping the business adapt procedures to new product requirements.
• Building strong relationships with first line teams to ensure your guidance, challenge and oversight is relevant to the products and processes.
• Seeking out knowledge of AI and technical innovations to support in your role and in product development and oversight processes.
• Horizon scanning and reviewing PRA and FCA policy statements as well as FOS publications and market best practice to ensure we’re always learning from what’s happening in the market.

Essential Skills and Competencies of the Compliance Manager – Product

• Strong written skills and excellent attention to detail.
• Comfortable drafting regulator-ready documents with minimal support.
• Legal qualification highly desirable.
• Thorough experience in the investments and wealth space with clear knowledge of rules, restrictions and best practices.
• Solid knowledge of FCA Financial Advice rules including staying abreast of upcoming regulatory changes.
• Keen interest in innovation in the financial guidance and advice space including the use of AI and Large Language Models.
• Working knowledge of consumer financial promotions regulation including COBS and BCOBS rules is very beneficial.