Job Description
An experienced Compliance Manager to provide clear, timely and commercially balanced advice on customer, conduct and regulatory matters within a mutual financial services firm. The role helps ensure the Group operates within its regulatory and conduct risk appetite, while leading oversight of financial crime prevention and maintaining proportionate and effective controls.
Key Responsibilities:
* Support a culture aligned with the organisation’s brand values and mutual ethos, contributing to the strategic direction of the function and fostering a motivating environment within the Risk & Governance team.
* Mentor and support the development of Compliance team members, providing leadership and ensuring effective controls are in place.
* Build strong relationships with stakeholders across the business to deliver an effective and independent second line Compliance function.
* Manage the annual programme of Compliance activities and oversee the interpretation of regulatory expectations, providing accurate, timely and commercially balanced advice.
* Provide Compliance oversight for key projects and initiatives, including data protection matters, and oversee the development and maintenance of Compliance policies and standards.
* Support business areas in understanding and meeting customer and regulatory expectations.
* Deputise for the Head of Compliance where required and support effective risk identification, escalation and management across the Group.
* Oversee Compliance and Conduct Risk reporting, including reporting to senior leadership, Boards and Committees, and support effective governance across the organisation.
* Lead the financial crime prevention framework, including policy, risk appetite, controls, monitoring and reporting.
* Lead the conduct risk framework and support the embedding of good customer outcomes, including oversight and reporting on Consumer Duty matters.
* Identify and communicate regulatory changes and emerging risks, supporting impact assessments and ensuring effective implementation across the business.
Experience:
* 5+ years’ experience in a Compliance Manager role within the insurance or investment sector
* Strong knowledge of UK financial services regulatory environment (FCA and PRA)