Compliance Advice

2 weeks ago

Birmingham, United Kingdom MERJE Full time

Opportunity to join a very well known financial services business joining an established 2nd line compliance advice and policy team with responsibility for leading 2 compliance business partners and providing advice and guidance across a range of regulatory conduct and prudential risk matters.


The business operates a hybrid working week, the expectation would be 2 days per week in the firms offices located in the West Midlands.


Role responsibilities

  • Manage and lead a small team of Compliance Business Partners.
  • Provide advice and guidance to the business on technical regulatory issues.
  • Ensure that the business attains the highest standards of conduct and data protection regulatory compliance.
  • Provide subject matter expert advice on all conduct related regulatory sourcebooks (BCOBS, MCOB, ICOB, CONC, PERG, SYSC etc.) as well as providing horizon scanning overviews of relevant Prudential Compliance matters.
  • Meet regulatory/legislative timescales providing well-structured, well-considered summaries of proposed regulatory change to the business and collating responses to the regulator as required.
  • To produce MI and regulatory update reports for presentation at various levels of committees including regulatory timeline updates to the Executive and the Board.


Personal attributes & experience

  • 2nd line compliance experience across advice and guidance, regulatory change, policy and horizon scanning.
  • Knowledge of mortgage and / or savings products
  • Proven team leadership experience.
  • Excellent oral and written communication skills and ability to communicate with and present to, a wide range of stakeholders from customer facing assistants to Senior Executive level staff.
  • High level of computer literacy.
  • High standard of personal motivation and initiative.
  • Good time management and prioritisation skills.

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