Regulatory Risk

1 month ago

North Shields UK, Tyne & Wear, United Kingdom NRG. Full time

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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