Compliance Manager (Advice)

A Compliance Manager (Advice) is required by a leading Financial Services provider to provide practical and clear advice and guidance to the business in relation to new and existing FCA conduct regulatory requirements and proactively help the business to ensure it implements effective systems and controls. The role is based in Wolverhampton with the flexibility to work 2 days a week from home.

Your responsibilities will include

• Acting as compliance representative on key business and regulatory projects and initiatives, providing advice and proactive challenge to ensure regulatory and conduct compliance and fair customer outcomes.
• Being a professional source of knowledge in the regulatory and conduct environment, being able to provide advice and identify potential solutions to issues as they arise.
• Providing 2nd line challenge and support in relation to business conduct risk events, ensuring customers are treated fairly and where required events are escalated to the Senior Compliance Manager, or other senior management as appropriate and reported to the regulator as necessary.
• Preparing compliance and conduct risk management information reports for line managers and the Group’s Management and Board committees.
• Overseeing the approval of financial promotions at the Group’s subsidiary company, providing advice and support where required.
• Providing members of the Group with specialist technical conduct regulatory interpretation and the on-going support and advice on wider FCA-related regulatory themes. Write and present compliance reports including summaries of appropriate papers issued by the regulator identifying the potential impact on the Business.
• Contributing to the development and maintenance of the regulatory and conduct risk frameworks, Compliance Universe, policies and procedures and ensuring that consistent standards are applied across the Group through effective communication and advice.
• Acting as an ambassador for the bank’s compliance and conduct risk culture and standards, demonstrating the highest standards of behaviours at all times.

To be considered for this excellent opportunity you will have gained previous experience in a Compliance Advisory role within the Financial Services arena (ideally with experience of lending and/or savings products). You will have a proven track record of providing challenge to 1st line in order to ensure customers are treated fairly and will have a strong working knowledge of the FCA regulatory framework. Excellent communication and stakeholder management skills are essential.


Salary:£38k - £45k + bonus + benefits


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