Regulatory Risk
2 weeks ago
Regulatory Risk & Compliance Manager
About the role
We are currently working with a Financial Services client based in North Tyneside who are looking for a Regulatory Risk and Compliance Manager to join their team in order to ensure compliance frameworks are efficient and effective.
This role has a salary up to £45,000, working Monday to Friday 9-5, with hybrid working available after completing a successful probation.
You will report to the Head of Risk and Compliance, helping the client comply with regulatory requirements, industry standards and internal processes, whilst fostering a strong compliance culture within the team.
What’s in it for you
- 25 days holidays + bank holidays increasing to 28 after 5 years and a day off for your birthday.
- Pension – employee 5% and employer 3%.
- Parking on site.
- Death in service 3 times salary.
- Employee assistance programme.
- Discount platform and a salary sacrifice season ticket for the metro.
- Free flu jabs for anyone that wants to have them.
- Cycle to work scheme.
About the role
- Lead & manage the Risk & Compliance team in delivery of risk-based compliance monitoring.
- Emerging risks and regulatory horizon scanning to stay informed on industry compliance regulations, trends, and implementing new regulatory requirements as needed.
- Provide oversight and advisory activities to ensure the business distributes products and provides services that meet the needs of customers in meeting FCA consumer duty requirements.
- Ensure the timely completion of periodic and ad-hoc requests for information from the CISL Board and other stakeholders.
- Manage the liaison with external auditors and the timely completion of agreed audit actions.
- Report accurate and timely outcomes of quality and compliance monitoring to the relevant stakeholders, identifying relevant risks and or areas for improvement.
- Regularly update and maintain company policies and Risk & Compliance procedures.
- Oversee compliance “signoffs” as required, for example changes to the online and offline customer journey, financial promotions, customer correspondence etc.
- Oversee the delivery of regulatory training and competence across multiple business areas through our eLearning programme.
- Promote, develop, and enable our vision, values, and culture within the team and across the business.
Regulatory Relationships
- Maintain open and productive relationships with the FCA and ICO and be a key point of contact in respect of compliance related matters.
- Maintain open and productive relationships with the FOS ensuring the timely production of complaints related documentation and MI.
- Preparation of regulatory returns and ad-hoc requests for information from the FCA.
- Oversight of the investigation and management of compliance incidents including regulatory breaches through to resolution, and where relevant ensure these are reported to regulators within required timescales.
About you
- Proven experience in an FCA regulated business, with relevant knowledge of the FCA handbook.
- Proven track record in developing and managing a team of compliance professionals.
- Relevant professional insurance, compliance or risk management qualifications are desirable but not essential.
- Compliance management leadership in a middle-management role gained within financial services is essential.
- Strong oral and written skills with excellent attention to detail.
- Excellent analytical, problem-solving, and decision-making skills.
- Self-motivated, proactive, and flexible with the ability to manage multiple projects and meet deadlines in a fast-paced environment.
- Strong understanding of governance, risk, and compliance principles.
- Excellent knowledge of FCA Consumer Duty.
- Excellent stakeholder management and influencing skills.
- Ability to innovate and improve processes to drive efficiency.
If you are interested in this role, click ‘apply now’ and a member of our team will be in touch
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