Senior Compliance Manager

A Senior Compliance Manager is required by a well-established, highly successful retail Financial Services provider to support in the provision of compliance advice, guidance and assurance across the Group. The jobholder will also be the Compliance Lead on any major regulatory change projects and will mentor, coach and develop more junior members of the team.

Key responsibilities will include:

• Contribute to the identification of legislative/regulatory changes, developments and announcements arising from relevant sources (for example the FCA, PRA, HMRC, HM Treasury, the Department for Work & Pensions).
• Conduct analysis of legislative/regulatory developments and determine the impact on the Group.
• Provide advice and guidance to business areas on how to implement necessary changes and provide 2nd line of defence challenge and oversight as appropriate.
• Provide advice and guidance to business areas on regulatory breaches providing 2nd line oversight and challenge where needed.
• Work with Change Management to ensure that there is adequate awareness of impending legislative/regulatory change and that the likely impacts are sufficiently understood to allow projects to be mobilised where appropriate and resource to be planned effectively.
• Provide advice and guidance on complex technical and regulatory compliance matters to all staff in relation to business as usual matters, the provision of financial advice to customers, process change initiatives, sales initiatives, marketing campaigns and product developments.
• Influence product development strategy and support product developments as appropriate.
• Advise on appropriate responses to complaints from customers.

To be considered for this excellent opportunity you will be an experienced Compliance professional with a strong working knowledge of the FCA handbook. You must have experience of providing Compliance support to major regulatory change programmes (e.g. MiFID II, PRIIPS, SMCR etc.) whilst any experience of changes to distribution channels (such as the movement to platforms / digital) would be advantageous. Excellent senior stakeholder management skills and experience are essential.


Salary:To £54k + bonus + benefits


All Images And Content Copywright Willow Resourcing Ltd © 2021
Registered Company In England & Wales | Company No: 07881973

Willow Resourcing, 2nd Floor, 3 Brindley Place, Birmingham, B1 2JB.