Senior Regulatory Policy Manager - HOMEBASED

EGRecruiting Ltd
Tyne and Wear
10 Feb 2018
15 Feb 2018
Contract Type
Full Time


Our Client, a national Financial Services business, is looking to recruit a Senior Regulatory Policy Manager. This is a home-based role with the ideal candidate residing in the North East of England. The individual will ensure the business maintains its regulatory permissions and license to operate by the FCA and ICO, by writing appropriate regulatory policy and to provide policy direction to the business, on regulatory change and developments.


  • Provide advice and guidance to the Board, Executive, all relevant Committees and stakeholders regarding regulatory change and its impact in order to achieve compliance and maximise competitive advantage
  • Develop and maintain the suite of policies required to meet regulatory requirements
  • Provide guidance to the first line as appropriate on the effective implementation of such policies and requirements
  • Provide timely, effective and insightful MI and reporting on regulatory changes and themes, which makes an effective contribution to the assessment of risk profile, relative to risk appetite and enables oversight committees to discharge their duties with confidence
  • Contribute to and share responsibility for the development of the Risk Management Strategy and the effectiveness of the CRO Risk function
  • Robust, independent 2nd line of defence judgement and points of view
  • Develop and maintain a pro-active and open relationship with key regulators, supporting the CF10 in oversight and management of all regulatory driven actions and ensuring timely and accurate delivery of all relevant filings, notifications and escalations
  • Contribute to and share responsibility for the development and delivery of the compliance monitoring plan
  • Contribute to and share responsibility for horizon scanning activity, sharing insights and industry best practices
  • Contribute and share responsibility for the regulatory training plan. Work with the L&D team to design and deliver regulatory risk training material for the business and Advisers and to monitor compliance with compulsory training
  • Work with the Regulatory and Conduct Risk team in the effective development, delivery and reporting of regulatory change
  • Motivate and develop individuals through mentoring, coaching and ongoing dialogue, in order to promote a high performance culture


  • QCF Level 4 Diploma
  • Mortgage qualification
  • Degree level education or equivalent industry experience

Candidate Requirements

Significant experience in a senior role within regulatory compliance

  • In-depth understanding of the technicalities of regulatory risk, specifically horizon scanning and policy development
  • Good experience of the regulatory environment within the UK of the wealth, life and/or asset management sectors
  • Leads by example, creating and maintaining a culture that promotes exceptional performance, empowerment, accountability and professionalism at all levels, where confident and pro-active customer considerations are an integral part of informed risk taking
  • Demonstrates a commercial mind-set, readily and robustly challenges thinking and practices at all levels to help redefine the business and deliver competitive advantage
  • Ability to navigate complex and political environments and manage multiple stakeholders
  • Communicates with impact; excellent listening, presentation, verbal and written communication skills
  • Excellent interpersonal skills, builds relationships both internally and externally and leads through influence
  • Delivery focused, with high energy and drive
  • Agile, makes decisions and executes in a fast, simple and focused way
  • Ability to balance & delegate multiple tasks and initiatives within strict deadlines
  • Resilient and perseverant to manage projects through to successful fruition
  • Credible, professional and strong personal integrity
  • Understanding and appreciation of different cultural business

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