Compliance Operations Manager

4 weeks ago

City Of London UK, Central London, United Kingdom Pure Resourcing Limited Full time

Compliance Operations Manager (Mortgages / Insurance / Wealth Management)


Our client is an award-winning financial services provider based in The City, specialising in areas such as HNW Mortgages, Wealth Management, General Insurance, Life Insurance, Short Term Lending, Commercial Finance and Asset Finance.


A newly created opportunity is available for an experienced Compliance Operations Manager to focus on areas including Consumer Duty, Product Governance and Compliance Operations. The role would suit someone who is analytically minded - experience of Power BI highly advantageous.


Candidates must come from a financial services (mortgages, insurance and wealth) background and have experience of Consumer Duty / Product Governance and its requirements.


Areas of responsibilities:


Consumer Duty:


Managing and overseeing Consumer Duty projects / actions

Creating and distributing Consumer Duty MI and associated commentary

Organising, recording and tracking Consumer Duty Forums and actions

Annual review of Consumer Duty work including Customer Journeys, Value Assessments

Review and consider Consumer Duty solutions and monitor what is available in the market


Product Governance:


Managing Product Governance

Developing and maintain the Product Governance framework and policy

Maintaining the Product Governance Register

Obtaining and updating provider Target Market / Value Assessments

Completing the annual Distribution Impact Assessments

Onboarding due diligence


Compliance Operations:


Reviewing and producing Conduct Risk and similar MI

Writing analysis and reports based on MI with suggested actions

Assisting with managing various Compliance inboxes and dashboards



Experience required:


Must have adequate knowledge of FCA regulations.

Must have a good understanding of the requirements under The Consumer Duty and Product Governance.

Must have experience in financial services, including mortgages, protection, general insurance and wealth.

Must have excellent interpersonal and communication skills.

Must have excellent analytical skills and happy to work in a structured environment.

Must be able to prioritise and manage own time effectively.

Must be able to work as part of a team and individually.

Must have adequate IT skills and knowledge to discharge the role effectively including Excel, Powerpoint, Outlook, Work, Power BI.

Desired but not necessity the relevant qualifications for the business areas involved in e.g. mortgages (CeMAP or equivalent), protection (RO5), Wealth Management (QCF Level 4 qualified), General Insurance CII certificate.


£50 – 75k Basic + Bonus + Benefits (Dependent on experience)

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