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Job Description
As a Compliance Manager, you will be responsible for providing second line of defence regulatory and conduct advice, supporting the business to understand and meet regulatory requirements consistently and appropriately. The role partners with business units particularly across Product, Sales, Operations and Intermediary Relations to deliver proportionate advice, challenge and oversight. The role sits under the leadership of the Group Head of Compliance and the Chief Compliance Officer, operating within both regulated and unregulated Group entities, providing oversight, assurance and insight into conduct and compliance matters within a dynamic and fast-paced business environment. Key aspects include providing regulatory input into business activities, assessing incidents for potential breaches, horizon scanning, and promoting a positive compliance culture.
Involvement Areas
Regulatory Advice and Support
* Provide timely and practical regulatory advice to business units, helping them meet compliance requirements and support good customer outcomes.
* Review and challenge customer communications, policies, frameworks, and procedures to ensure they meet regulatory expectations and internal standards.
Governance and Oversight
* Attend relevant working groups and forums to provide compliance input and support regulatory adherence during business change activities.
* Maintain and update compliance policies, procedures, and guidance documents.
* Conduct horizon scanning to identify regulatory developments and summarize key impacts for the team and stakeholders.
Business Partnering and Operational Support
* Build effective relationships with stakeholders, supporting their understanding of regulatory obligations.
Conduct Risk and Culture
* Support the identification, assessment, and escalation of conduct and regulatory risks within operations.
Reporting and Innovation
* Support the development of management information and reporting.
* Assist in identifying and implementing innovative technologies, including AI and automation, to enhance compliance processes.
Qualifications
Essential:
* Good knowledge of regulatory handbooks, guides, and codes, especially MCOB and Consumer Duty.
* Ability to interpret and apply regulatory standards to business activities and policies.
* Experience in compliance or regulatory advisory roles within financial services.
* Strong horizon-scanning skills and lateral thinking about risks and opportunities.
* Sound judgment to assess situations, foresee risks, and escalate appropriately.
* Excellent communication skills to convey complex information clearly and influence stakeholders.
* Interest in technology, innovation, and emerging tools like AI.
Additional Information
If you possess some but not all skills, please still apply for a discussion on your suitability.
We embrace diversity and are committed to an inclusive workplace. If you require support or adjustments during the recruitment process, let us know. All successful applicants will undergo employment checks.
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