Senior Compliance Manager (Home Finance)
- Recruiter
- Broadgate Search
- Location
- The City, UK
- Salary
- Competitive salary
- Posted
- 16 Jul 2021
- Closes
- 27 Jul 2021
- Ref
- 2301272217
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
- Experience level
- Manager
My client has a fantastic opportunity for an experienced and talented Senior Compliance Manager to deliver risk based, business and customer focussed support that delivers pragmatic, consistent and technically accurate regulatory advice and oversight, balancing the delivery of strong regulatory compliance with commercial implementation.
Acting as deputy for the Head of Compliance, your key responsibilities will be:
Key Skills & Experience Required:
Acting as deputy for the Head of Compliance, your key responsibilities will be:
- Provide high quality conduct and compliance advice to support the company's business as usual and project related activities, ensuring regulatory risks and issues are managed appropriately in accordance with the agreed risk appetites;
- Support the business in the implementation of regulatory change through to delivery by providing subject matter compliance expertise;
- Facilitate the relationship between Lines 1 and 2, providing oversight of regulatory risk within their business areas, ensuring risks are highlighted and managed appropriately;
- Maintain and further embed the Conduct Risk Framework, particularly the Conduct Risk Policy, Standard and associated MI & Reporting, acting as subject matter expert;
- Ensure new and emerging conduct risks are identified and appropriate mitigations are implemented, ensuring customer impacts are considered in decision making processes;
- Provide oversight and sign off on product, customer or distributor related materials;
- Support the business on managing and resolving complaints that are complicated in nature or require specific compliance advice;
- Produce business level reporting on conduct and regulatory risks, issues and developments for executive management, committees and Board members as required;
- Review and challenge the policy gap analysis completed by the business, and monitor progress of any agreed remediation activity to completion;
- Develop and maintain staff training materials in respect of Conduct Risk, Conflicts of Interest, Code of Conduct, Conduct Rules and new or changing regulatory requirements;
- Engage in cross functional working with other business areas to ensure a collaborative, risk based approach and outcome that makes best use of the company's resources and facilitates a regular exchange of information on key issues affecting the business;
- Develop and maintain interpersonal skills and knowledge of business products & services and processes as well as compliance technical knowledge in respect of the FCA Handbook and any other key regulatory requirements;
- Oversee and develop skills and knowledge through coaching and guidance on technical matters through internal and external training as appropriate.
Key Skills & Experience Required:
- Ability to develop and maintain effective working relationships with colleagues, business unit leadership teams and other governance functions;
- Strong influencing and stakeholder management skills with senior / executive levels;
- Ability to present advice in a clear, timely and focused way;
- Extensive experience and understanding of the Equity Release Mortgage sector / products;
- Detailed working knowledge of regulatory frameworks and requirements, particularly the FCA Handbook relating to the Equity Release Mortgage sectors / products;
- Demonstrable subject matter expertise on Conduct Risk;
- Ability to interpret the intended outcomes of regulatory rules, principles and guidance and drive pragmatic solutions and change balancing regulatory requirements, cost/benefit, customer impact with business needs;
- Good communication skills that can adapt to the audience as required;
- Ability to take a risk based approach to organising workloads for self to meet demanding and often changing priorities, ensuring that key deadlines are met;
- Excellent analytical and report writing skills.