At a Glance
- Tasks: Lead compliance efforts to ensure fair customer outcomes and manage regulatory risks.
- Company: Hodge, a Welsh financial services provider focused on real estate finance.
- Benefits: Competitive salary, commitment to equality, and a focus on sustainability.
- Other info: Opportunity for career growth in a supportive and diverse environment.
- Why this job: Join a team dedicated to making a positive impact on customers and society.
- Qualifications: Experience in compliance/risk management and knowledge of FCA Conduct rules.
The predicted salary is between 56700 - 69300 £ per year.
Do you want to be part of a force for good, helping to make life better for customers and society in the moments that matter?
At Hodge, we put people at the heart of our business, and that means our customers, colleagues and communities.
Hodge is a Welsh financial services provider focused on real estate finance and specialist residential mortgage markets.
The role of a Senior Customer Compliance Manager is identified as falling under a category of staff whose professional activities are deemed to have a material impact on Hodge's risk profile under the following criteria holds managerial responsibility within the first line compliance and risk function.
The Senior Customer Compliance Manager is a member of the Retail senior leadership team, reporting to the Retail Director.
The role will be responsible for helping support Retail to achieve business growth and ensure a good customer outcome.
The Senior Customer Compliance Manager is a regulatory role as it is responsible for ensuring compliance with applicable regulatory requirements, managing customer-related regulatory risks, and overseeing controls and governance that support fair customer outcomes and regulatory adherence.
Essential criteria
- Knowledge of FCA Conduct rules.
- Relevant Compliance qualification (ICA, CII, IFA or equivalent)
- Previous experience in financial services in a Compliance / Risk Senior Manager
- Writing, presenting and influencing at Committee level
- Leading and developing people
Key responsibilities will include
- Oversee work undertaken by the teams within the function, ensuring they support and challenge the business in Compliance, QA and Risk matters and encourage a robust risk and compliance culture.
- Provide leadership and direction to the Customer Compliance team, supporting with decision making, challenging and ensuring senior management are aware of and are actioning any concerns or issues raised by the team.
- Oversee regulatory change that impacts the bank and ensuring robust processes and training are introduced through an extensive knowledge of regulatory requirements and be able use this to support the team and business units.
- Provide product technical support and regulatory insight to the business, including acting as a consultant on projects, participating in workshops and contributing to project teams as required.
- Build strong and collaborative working relationships with business partners and stakeholders, including Management Team members and 2nd Line Compliance Team.
- Lead the Customer Outcome testing framework ensuring Customer Outcome assessments are conducted in a timely manner and provide constructive feedback to the relevant individuals and teams.
- Form part of the membership of forum and committee meetings, providing challenge to attendees and business areas around their adherence to regulatory expectation and customer outcomes, and ensure that leaders are held to account when falling short of this i. e., Consumer Duty, Vulnerable Customer, MCOB and BCOBs.
- Aid with the development of the Retail strategy.
Identifying areas of risk and compliance within the current (and future) processes and working closely with projects and departments to understand and ensure the relevant action is taken to highlight, address and alleviate the risk to the company.
- Adhere to the Training & Competency Scheme ensuring regular 1-1s, quarterly appraisals whilst providing documented evidence of this.
Please be aware that should we pursue your application, all our Financial Services employees will be expected to complete background checks to assess suitability for employment, these include; a criminal record, identity, media, sanctions, adverse finance, fraud prevention and reference checks to comply with our regulatory requirements.
Hodge is an advocate of being an equal opportunities employer, We believe in promoting equality and diversity which is central to our lives today.
We welcome applications from all sections of the community and recognises the value a diverse workforce brings to an organisation.
ESG and sustainability are at the heart of everything we do and serves as a reminder of the responsibility we have to our stakeholders, customers, colleagues and the communities we operate in to use our position wisely.
We're currently exploring different certifications available and have done an initial review of how we think we'd fare, as we see this as a real opportunity for Hodge given our social purpose.
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Senior Customer Compliance Manager in Cardiff employer: Julian Hodge Bank Limited
Julian Hodge Bank Limited is an excellent employer, offering a dynamic work environment in Cardiff where innovation and compliance excellence are at the forefront. Employees benefit from a strong culture of collaboration, professional development opportunities, and a commitment to achieving outstanding customer outcomes, making it a rewarding place to advance your career in financial services.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Customer Compliance Manager in Cardiff
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We think you need these skills to ace Senior Customer Compliance Manager in Cardiff
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