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Compliance Manager (Mortgages)

Employer
Broadgate Search
Location
UK
Salary
Competitive
Closing date
29 Oct 2021

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Sector
Legal
Contract Type
Permanent
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My client requires an experienced COMPLIANCE MANAGER to deliver practical and clear guidance to the business on how to effectively meet new and existing conduct regulatory requirements, proactively helping the business to ensure that it implements effective systems and controls (in relation to these requirements) and to escalate any material issues identified.

Key Responsibilities:

  • Act as compliance representative on key business and regulatory projects and initiatives, providing advice and proactive challenge to ensure regulatory and conduct compliance and fair customer outcomes;
  • Be a professional source of knowledge in the regulatory and conduct environment, being able to provide advice and identify potential solutions to issues as they arise;
  • Provide second line challenge and support in relation to business conduct risk events, ensuring customers are treated fairly and where required events are escalated to the Senior Compliance Manager, or other senior management as appropriate and reported to the regulator as necessary;
  • Prepare compliance and conduct risk management information reports for line managers and Management / Board committees;
  • Oversee the approval of financial promotions, providing advice and support where required;
  • Oversee the reviewing, escalating and reporting of Conflicts of Interest declarations;
  • Provide specialist technical conduct regulatory advice on FCA regulatory themes;
  • Write and present compliance reports including summaries of appropriate papers issued by the regulator identifying the potential impact on the Business;
  • Contribute to the development and maintenance of the regulatory and conduct risk frameworks, Compliance Universe, policies and procedures and ensuring that consistent standards are applied through effective communication and advice;
  • Support the development of the compliance culture of the organisation by ensuring policies, processes, procedures and training comply with financial regulation and legislation;
  • Contribute to the identification, assessment, communication, tracking and reporting of conduct regulatory change matters facing the business;
  • Support in the development and delivery of regulatory and conduct risk related training;
  • Act as an ambassador for compliance and conduct risk culture and standards, demonstrating the highest standards of behaviours at all times;
  • Promote and support a culture that values diversity in its workforce and demonstrates equality of opportunity and fairness in its treatment of staff and customers;
  • Ensure compliance with Risk Management Policies as they relate to your area, demonstrating that you put customers at the heart of everything you do;
  • Ensure compliance with Data Governance Policies as they relate to your area, demonstrating that you treat data as an important corporate asset which must be protected;
  • Maintain the company's compliance standards and ensure timely completion of all mandatory on-line training modules and attestations.


Key Skills & Experience Required:

  • Previous experience in a compliance / conduct risk role within the financial service industry, involving the identification and interpretation of emerging conduct regulatory requirements and providing associated advice;
  • Previous experience and knowledge of retail banking / mortgage products is desirable;
  • Detailed knowledge of conduct and regulatory environment is essential;
  • Through understanding of conduct risk management and good customer outcomes;
  • Detailed working and practical knowledge of the FCA handbooks and their application.
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