At a Glance
- Tasks: Lead compliance teams and ensure regulatory excellence in a dynamic financial services environment.
- Company: Respected financial services organisation with a focus on compliance culture.
- Benefits: Hybrid working, £2.6k car allowance, and excellent benefits package.
- Other info: Opportunity for ongoing professional development and exposure to senior leadership.
- Why this job: Make a real impact on regulatory standards while developing your career.
- Qualifications: Experience in compliance, risk, or internal audit within financial services.
The predicted salary is between 40500 - 49500 £ per year.
Are you an experienced compliance leader looking for an opportunity to influence regulatory standards across a growing financial services organisation? Do you thrive in a role where you can combine strategic thinking with hands-on leadership while helping shape a strong compliance culture? This is an excellent opportunity to join a highly respected financial services business as a Senior Compliance Manager, supporting the Head of Compliance & MLRO in leading the Compliance function across multiple UK entities. You'll play a pivotal role in ensuring regulatory excellence, developing high-performing teams and driving compliance best practice throughout the business. If you're passionate about FCA regulation, Consumer Duty and leading compliance teams in a fast-paced environment, this is your chance to make a real impact while developing your career within a supportive and forward-thinking organisation.
Key Responsibilities
- Support the Head of Compliance & MLRO in maintaining the Compliance Framework across all UK entities.
- Deputise for the Head of Compliance when required.
- Lead, coach and develop the Compliance team, ensuring high standards of performance.
- Manage and deliver the annual Compliance Monitoring Plan.
- Oversee second-line compliance monitoring activities across the business.
- Conduct thematic reviews and targeted compliance assessments.
- Ensure compliance with FCA regulations, Consumer Duty and internal policies.
- Oversee intermediary oversight activities, including retailer and broker audits.
- Review compliance reports, monitor remediation plans and ensure consistent standards.
- Support regulatory change projects and the implementation of new regulatory requirements.
- Prepare reporting for senior leadership, governance committees and Board meetings.
- Build strong relationships with stakeholders across Risk, Legal, Sales, Operations and Internal Audit.
- Promote a positive compliance culture throughout the organisation.
About You
You'll be an experienced compliance professional with a strong understanding of the UK financial services regulatory environment and a proven ability to lead teams and influence stakeholders. You'll ideally have:
- Significant experience within Compliance, Risk or Internal Audit in Financial Services.
- Strong working knowledge of FCA regulation and Consumer Duty.
- Experience of compliance monitoring and second-line oversight.
- Experience leading compliance reviews and regulatory remediation programmes.
- Previous people management and leadership experience.
- Excellent stakeholder management and communication skills.
- Experience preparing reports for senior management and governance committees.
- Excellent organisational skills with the ability to manage multiple priorities.
- A full UK driving licence and willingness to travel throughout the UK.
The Offer
- Hybrid working
- £2.6k car allowance
- Excellent benefits package
- Opportunity to work within a respected financial services organisation
- Exposure to senior leadership and strategic regulatory projects
- Ongoing professional development and career progression
Senior Compliance Manager in Slough employer: RD Financial Recruitment
As a Pricing Graduate, you'll join a dynamic team that values innovation and collaboration, offering you the chance to make a real impact in retail finance. Our supportive work culture fosters personal and professional growth, with tailored training programmes designed to enhance your numerical and analytical skills. Located in a vibrant area, we provide a stimulating environment where your contributions are recognised and rewarded, making it an excellent place to kickstart your career.
