Compliance Manager in Chester

Northreach is a dynamic recruitment agency that connects businesses with top talent in financial services, lending, and digital sectors. We specialise in providing a seamless recruitment experience for clients and candidates, fostering innovation and professional growth.

We are partnering with a financial services business who have a requirement for a regulatory compliance manager to join their team. This role is 2LOD advisory and sits within the Risk and compliance function.

Responsibilities:

• Leading day to day management of the compliance plan.
• Quality Assurance Methodology and Framework – completing reviews, oversight, assessing controls, providing feedback and support.
• Support the design, delivery and continuous improvement of the annual Compliance Monitoring Plan.
• Provide regulatory advisory support in articulating regulatory matters and providing business support and advice (e.g. new products, reviews, regulatory change impacts).
• Manage, support and escalate regulatory breaches.
• Maintain and update the compliance risk registers and associated controls.
• Provide technical and operational support to the first line Ops.
• Provide Compliance Training to all new employees and refresher training to existing colleagues.
• Provide support with risk events e.g. incident management or breaches.
• Manage and oversee data protection requests, in particular; DSARs and deletion requests and supporting the DPO with any enquiries.
• Prepare and provide accurate, timely management information (MI) and reports to the required forums and committees, analysing trends, identifying emerging risks and determining the effectiveness of internal associated controls.
• Support the Horizon Scanning process, ensuring that regulatory changes are recorded, assessed and reported in a timely manner.
• Support with the annual review of associated Policies and Procedures aligned to Compliance matters.

Required Skills / Experience:

• Experience (ideally 3 years +) of working in a compliance role, preferably within the financial services industry.
• Practical experience and knowledge of Financial Conduct Authority (FCA) regulations including BCOBS, CONC, DISP, Consumer Duty and Conduct Risk.
• Interpreting regulatory requirements to provide practical advice to the business.
• Horizon scanning.
• Experience in compliance advisory and compliance monitoring background.
• Strong analytical skills.
• Excellent stakeholder management experience and strong communication skills to engage with the wider business and cross-functions.

You must have full right to work in the UK. This role is hybrid working and would require 3 days pw in their offices.

Northreach is an equal opportunity employer and we do not discriminate against any employee or applicant for employment based on race, colour, religion, sex, national origin, disability, or age. We are committed to promoting diversity, equity, and inclusion in the workplace and hiring practices, therefore only partner with businesses that promote DEI. We strive to create a welcoming and inclusive environment for all employees.