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Our client is seeking a Compliance Manager to join their dynamic team. This role is integral to the company's unique services and value proposition for its registered firms, and more widely, the financial services industry. The successful candidate will be responsible for monitoring all aspects of registered firms' compliance with the Standards and Codes. This role offers an exciting opportunity to work in a hybrid or remote setting, providing flexibility and adaptability.
What you'll do:
As a Compliance Manager, you will play a pivotal role in supporting the Director of Compliance and Insight as well as the Senior Compliance Manager with the implementation of a new LSB assurance and oversight strategy. This strategy centres on harnessing both quantitative and qualitative data to improve understanding of market trends, risk areas, and customer outcomes. You will also be responsible for assessing adherence to the Standards of Lending Practice across a portfolio of registered firms. Your role will involve travel throughout the UK at times, which may include overnight stays.
- Support the development and delivery of compliance and assurance strategies
- Analyse information from firms and identify key risks of harm to customers
- Oversee and monitor how firms are adhering to the LSB Standards and Codes
- Plan and execute compliance and assurance activity and relationship management visits with firms
- Produce high quality reports that bring issues and emerging risks to the attention of the firms and the LSB Executive
- Carry out investigations into systemic or significant breaches, identifying issues and providing reports and recommendations to the LSB Executive
What you bring:
The ideal candidate for this Compliance Manager position brings proven experience in compliance assurance, oversight or audit within the UK retail financial services industry. You possess strong analytical abilities, enabling you to confidently handle both qualitative and quantitative information. Your excellent report writing skills allow you to articulate key findings in a concise yet robust manner. With your strong interpersonal skills, you are adept at dealing with senior stakeholders and gaining acceptance of report findings. As an independent thinker, you have the ability to influence others through tactful persuasion.
- Demonstrable assurance and oversight skills within the UK retail financial services industry
- Ability to analyse both qualitative and quantitative information confidently
- Strong report writing skills with ability to articulate key findings concisely
- Strong interpersonal skills with experience dealing with senior stakeholders
- Ability to undertake detailed analysis ensuring all relevant information has been accessed in a timely manner
- Logical, independent thinker with skills to influence others through tactful persuasion
What sets this company apart:
Our client is a renowned organisation within the financial services industry. They are committed to maintaining high standards across their registered firms, ensuring that all customers receive favourable outcomes from their financial services provider. They are dedicated to fostering a supportive and inclusive work environment, where every team member is valued for their unique contributions. This is an excellent opportunity to join a company that values integrity, impact, inquiry and inclusivity.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
