Senior Compliance Manager

7 days ago

Shoreditch, Greater London, United Kingdom Shawbrook Bank Full time

The Opportunity


Shawbrook is a new type of specialist financial services company, combining the relentless focus on customer service and innovation you would expect from a fintech with the expertise and certainty of a bank.

Shawbrook is driven by a purpose to solve complexproblems that unlock opportunity for its rapidly growing customer base of over 300,000 UK consumers and businesses.


The Role & Responsibilities


Reporting to the Head of Compliance, the Senior Compliance Manager is the primary business-facing role for Group Compliance Advice (second line) to the bank's franchises, functional areas, and other senior stakeholders within the bank.

As a business-facingrole, the Senior Compliance Manager is responsible for delivering effective oversight and advice regarding compliance with regulations, policies, procedures, systems & controls, and governance of Shawbrook Group.


The role has a broad remit and is intended to be flexible to meet the constantly changing demands of the external regulatory environment, the evolving strategy of the Bank and the team's overall workload.

The role sits within the Group Compliance Advice team,which reports to the Chief Compliance Officer (SMF16) and is part of the Group Risk 2nd line function.


  • Provide the Chief Compliance Officer, Head of Compliance Advice and Deputy Head of Compliance Advice with regular updates on compliance matters relating to the Bank's franchises, including on emerging issues/incidents, progress in addressing findings fromfirst/second/third line monitoring reviews
  • Attend governance meetings (including executive and operational meetings) for the franchise
  • Provide and oversee the provision of advice to specified areas of the business (as allocated by the Head of Compliance Advice or the Deputy) on issues relating to the area, including the development and launch of new products, new business models and newfunctional processes
  • Contribute to the implementation of the businessfacing aspects of the Compliance Plan
  • Foster relationship with Group Legal and the first and third lines of defence Risk functions in developing and maintaining a robust three lines of defence framework, sharing information as appropriate and ensuring there is no significant overlap of work
  • Identify, log, manage and provide advice relating to the remediation of regulatory risk events and or compliance breaches
  • Promote best practice in regulatory compliance and compliance management generally by creating a positive and proactive image of regulatory risk management, by maintaining high standards and ensuring staff are aware of and are competent in all relevantregulatory rules and regulations
  • Contribute to an effective compliance framework including the tracking/resolving of outstanding actions, maintaining a compliance calendar and/or manual and preparing draft policies for internal approval
  • Support the overall objectives of the wider Compliance Advice team which will include managing workload flexibly to ensure priority tasks are complete and undertaking any other reasonable duty at the request of the Head of Compliance Advice, Deputy Headof Compliance Advice or Chief Compliance Officer.
  • Support the successful operation of the Bank's risk management framework and the team's conduct and compliance risk management framework

The Person

  • Strong academic background, with a professional qualification preferred
  • Minimum of 57 years' experience as a compliance professional within retail banking / SME finance / banking or another regulatory environment
  • Regulatory/legal experience in financial services/Banking
  • Excellent understanding of the rules and regulations applicable to a financial services firm or a bank, obtained while working within in a professional service/banking environment. Ideally this should be at least in relation to regulated mortgages, regulatedcredit agreements or savings accounts
  • Proven track record of proving advice to senior stakeholders on regulatory or compliance matters
  • Broad and deep knowledge of financial regulation at a generalist or specialist level relevant to the bank's business model
  • Track record in building strong and constructive relationships with the business

Business

  • In depth understanding of the financial services sector
  • Strong capability in strategic thinking developing solutions and effective business planning
  • Ability to operate confidently and effectively on senior management committees
  • Strong understanding of risk appetite and risk management frameworks
  • In depth knowledge of conduct risk and how to deliver fair customer outcomes
  • Strong understanding of legislation relevant to a financial services business

Leadership and personal characteristics

  • Works in partnership to achieve goals
  • Demonstrates excellence, frankness, openness, and transparency
  • Develops people to support them to be the best that they can be
  • Develops strong working relationships with colleagues
  • Inspires respect, trust, and commitment to business objectives with welldeveloped leadership and people management skills
  • Demonstrates sound business/professional judgement through strength of character, independence of thought risk awareness and good values and behaviours.
  • Works well under pressure and can prioritise and manage multiple and complex projects
simultaneously

  • High levels of drive, energy, and personal commitment to success.
  • Creativity and innovation
  • Able to approach complex matters with pragmatism and develop practical solutions
  • Open to change and technologyaware

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