At a Glance
- Tasks: Lead compliance monitoring and provide expert advice on FCA regulations in a dynamic financial services environment.
- Company: Join a growing financial services firm committed to ethical practices and consumer outcomes.
- Benefits: Enjoy private medical insurance, generous leave, gym membership, and a vibrant office in Manchester.
- Other info: Opportunity for professional growth with training and coaching support.
- Why this job: Make a real impact on compliance practices while developing your career in a supportive environment.
- Qualifications: Experience in compliance within financial services and strong knowledge of FCA regulations required.
The predicted salary is between 60000 - 75000 £ per year.
YOUR NEW ROLE
Due to our current size and growth ambitions this is a fantastic opportunity for someone who is experienced in conducting compliance monitoring reviews on both a thematic and routine basis in a financial services firm.
You will be responsible for providing business functions with quality and timely advice on compliance with FCA regulations, provide ongoing oversight and reporting on the compliance position.
You will champion delivering good consumer outcomes and will support on the advice and oversight of our developing consumer lending hire purchase proposition - enabling risk-owners to ensure compliance and good customer outcomes are achieved.
You will have high levels of autonomy, enabling you to make decisions about the right way to do things.
This role involves a variety of subjects and initiatives allowing you to work dynamically, and broaden your breadth of experience.
RESPONSIBILITIES AND DUTIES
DF Capital are passionate about providing employees with the right training and support to help them excel in their roles and future careers.
We are confident that an applicant with the right attitude and drive will succeed in this role.
- Other duties may be assigned outside of the following duties and responsibilities:
- Providing advice to all business functions, stakeholders and projects on effective compliance to the FCA Handbook, particularly CONC, PRIN and BCOBs, which is tailored to the customers, scale and risk of the firm
- Oversee and test business compliance against sourcebooks and policy, to provide effective, risk-based assurance to risk-owners and independently for the Board
- Provide constructive input and challenge to business forums and committees, driving an agenda of customer centricity and sustainability
- Review new or developing legislation/regulation to analyse business impact, brief business stakeholders up to the SLT and Board, and lead/advise on appropriate action
- Identify and address regulatory training needs, creating and delivering training sessions for stakeholders
- Lead on compliance thematic reviews, depending on subject-matter expertise and team resources
- Work with the Compliance Director to annually review compliance risk and devise the annual Compliance Monitoring Plan
- Lead on maintenance and updates to the compliance framework and policies, ensuring it remains continuously effective for managing compliance as the business grows
- Lead improvement initiatives to Compliance processes, such as horizon scanning, monthly ERC reporting, etc.
- Act as a deputy to the Compliance Director at Group Risk Committee
You will not have any direct reports but will act as a supporting coach for 2LOD colleagues and beyond, upskilling and deepening knowledge of FCA regulations and effective compliance processes.
Requirements
- Strong ethics and standards, comfortable with open and direct communication across various levels of seniority.
- You will have provided compliance advice within a financial services firm before, and can demonstrate successful, outcomes-focussed effects of that advice
- Good practical working knowledge of the FCA Handbook (particularly CONC, SYSC, PRICN, BCOBs and DISP); bonus for knowledge of money laundering regulations - but not essential!
- Experience in a firm(s) that offer regulated and unregulated products, can make pragmatic, risk-based judgements about when and how principles and rules should be applied throughout the firm.
- Have a vision of what good looks like in compliance practices/process, and are excited by the opportunity to deliver your vision.
- Can communicate concepts in a concise, simple way, even if they're complex.
- Strong ability to analyse information, and make informed judgement.
- Proven ability to work in a fast-paced environment and adapt to change.
Benefits
- Private Medical Insurance for you and your partner/family
- 10% Employer pension contribution
- 30-day annual leave entitlement plus Bank/Public Holidays
- Free Gym Membership
- Discretionary annual bonus
- Discretionary share awards
- Life Assurance
- Income Protection
- Save As You Earn company share acquisition scheme
- Tax efficient salary sacrifice scheme to obtain bicycles and electric vehicles
- 4 days of paid Volunteering leave to support our local communities
- Vibrant office location in the lively city centre of Manchester
- #J-18808-Ljbffr
Senior Conduct & Compliance Manager in Manchester employer: DF Capital Bank
DF Capital is an exceptional employer that prioritises employee development and well-being, offering a vibrant work culture in the heart of Manchester. With a strong commitment to compliance excellence, employees benefit from comprehensive training, generous leave policies, and a supportive environment that encourages autonomy and innovation. The company’s focus on good consumer outcomes and community support, alongside competitive benefits like private medical insurance and a robust pension scheme, makes it an attractive place for professionals seeking meaningful and rewarding careers.
