Conduct Risk Manager

Stratford-Upon-Avon, UK
55,000 - 70,000 per annum
29 Jul 2021
12 Aug 2021
Job role
Experience level
An excellent opportunty is available with a leading financial services business based in Warwickshire for a Conduct Risk Manager to join the group compliance department and formulate and deliver a comprehensive and efficient risk-based Conduct Regulation Assurance strategy.

Initially reporting to the Head of Compliance and having 3 direct reports (in a team of 11), you will:
  • Collaborate with the Head of Compliance to devise and communicate Compliance's Conduct Regulation strategy, which is in line with the Board's risk appetite and will deliver on regulatory requirements
  • Develop and lead the team to deliver a risk based assurance plan to critique and/or provide assurance over key regulatory conduct risks and the ability of the Group to deliver fair customer outcomes
  • Develop and maintain a conduct focused risk based entity universe to inform the annual Conduct Regulation Assurance Plan to assess or critique ability to meet FCA regulatory conduct risk and deliver fair customer outcomes
  • Direct and monitor the recruitment, induction and training of Conduct Regulation Assurance Team to ensure adequate resources are available and capable to deliver targets and achieve and maintain competence (skills, knowledge and expertise)
  • Create and implement assurance review processes and systems, using external benchmarking (against suitable peer groups) to identify and adopt best practice with continuous improvement in providing a highly efficient, quality assurance review service
  • Building and maintaining effective relationships to promote collaborative working with colleagues in Group Compliance, Group Internal Audit and Corporate Governance & Risk Management to provide appropriate, co-ordinated regulatory assurance to the company and external regulator
  • Lead, manage and motivate direct reports so that they know what is expected, are able to maximise their contribution to business objectives and realise their potential

The Conduct Risk Manager will have demonstrable management experience in an operational role within financial services and possess strong technical knowledge as well as being able to engage and communicate clearly with stakeholders at all levels. You will have excellent leadership qualities to lead teams and who can share knowledge, to up-skill and coach colleagues. You will be able to simplify complex information and have a sound knowledge of FCA Handbooks.

This is an excellent opportunity in Financial Services within a management level role. Please apply now or for further information contact Kayte Short at Robert Walters at

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