Senior Compliance Advisory Manager – Mortgages & Savings

A Senior Compliance Advisory Manager with strong Mortgage and Savings product experience 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 the impact of business change. The role is based in Wolverhampton with the flexibility to work 1-2 days a week from home.

Your responsibilities will include

• Providing direction and leadership to the Compliance Advice Team (4 FTE) to ensure efficient and effective delivery of compliance advice to the business.
• Supporting the development of the compliance culture of the organisation by ensuring the servicing and origination platforms’ (covering mortgages and savings) policies, processes, procedures and training meet with applicable conduct regulations and drives good customer outcomes.
• Identifying the implications of conduct risk and associated conduct regulations on the business and write and present Impact Analyses/Summaries of appropriate papers issued by the regulator.
• Advising key business stakeholders and project teams on the scope and implications of conduct regulation, identification and management of associated conduct risks and the organisation’s compliance policies.
• Leading and managing day-to-day processes, staff and risks within the Compliance Advice Team efficiently and effectively and to optimise business performance.
• Promoting fair outcomes for the organisation’s customers with a view to ensuring that the ‘customer journey’ is considered in day-to-day operations.
• Overseeing the proactive support provided to the business in relation to regulatory and conduct risk related incidents and breaches and provide risk-based advice and guidance to ensure the effective and timely delivery of appropriate remedial actions to mitigate the risk of reoccurrence.
• Advising on any changes needed to Compliance Policies.
• Identifying compliance training requirements within the business. Supporting People Development with the design and delivery of the Compliance Training Programme.
• Approving Financial Promotions and other marketing/customer facing materials.

You will be an experienced Compliance Advisory Manager with strong Mortgage and Savings product knowledge and experience. You will have experience of embedding the principles of TCF and Conduct Risk frameworks within a business and will have a proven track record of staff management, coaching and development. You will also possess strong technical regulatory knowledge and be capable of working with limited supervision. CeMAP 3 qualifications would be advantageous.

Location:West MidlandsWolverhampton

Salary:£55k - £65k + bonus + excellent benefits


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