Senior Compliance Assurance Manager

3 weeks ago

Wolverhampton, United Kingdom Ultimate Banking Ltd Full time

Our client, a market leading Challenger Bank focussed on mortgages and savings, is seeking an experienced Compliance Assurance Manager to join their Compliance team. The purpose of the role is to lead and deliver robust risk-based compliance assurance activityacross the organisation and its subsidiary businesses, in accordance with the bank’s Annual Compliance Assurance Plan.

The Senior Compliance Assurance Manager will support the Group Head of Compliance and Conduct Risk in helping to develop, deliver and manage a highly professional and effective compliance assurance function, including managing, coaching, and mentoring ofdirect reports within the team.

Our client is seeking a Compliance SME, who is hands on when it comes to guiding and coaching team members, this is a genuine leadership role, in the main you will not be 'doing’ the thematic reviews but coaching and guiding the team of 5.

Duties of the role will include:

- Support the Group Head of Compliance and Conduct Risk and Senior Governance Assurance Manager in developing a robust compliance and conduct risk assessment, and developing a risk based and proportionate annual Compliance Assurance Plan to test adherenceto regulatory requirements, the design and effectiveness of key regulatory controls and appropriate customer outcomes.
- Management of planning, execution and reporting against the Compliance Assurance Plan, including Thematic reviews, and Customer Journeys, retaining robust and accurate records and providing concise, and timely, written and verbal reports highlighting keyissues and recommendations for improvement actions.
- Responsible for the continued development of direct reports to ensure that rigorous testing is undertaken, recording of their work is robust, comprehensive and with a clear audit trail, and that all appropriate elements of risk are adequately considered.Ensure that the reporting produced is of an excellent standard.
- Provide effective support to direct reports in agreeing and recording operational management responses to recommendations, tracking progress and conducting proportionate follow up validation monitoring.
- A wealth of Compliance experience and knowledge
- Previous experience of coaching and developing a team
- Understanding and exposure to thematic reviews
- Sound knowledge of the FCA handbook
- Broad experience in Retail banking

This role can be based in either the Midlands or the South East as they have offices in both locations. Our client operates a hybrid working model, with 3 days in the office and 2 working remotely. There will be a requirement to travel to both offices, howeverdepending on what your 'office base’ is any travel to the other office will be fully expensed back incl. mileage and if required hotel stays.

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