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Our client is seeking a Senior Compliance Manager to join their dynamic team. The successful candidate will be responsible for monitoring all aspects of registered firms' compliance with the Standards and Codes. This role is critical in reporting on the positive impact of the company's Standards and Codes on customer outcomes and supporting the industry to build capabilities across the sector.
What you'll do:
As a Senior Compliance Manager, you will play a pivotal role in shaping our client's compliance strategy. You will lead the delivery of an annual compliance programme, overseeing a team of Compliance Managers, ensuring adherence to Standards and Codes. Your ability to produce insightful data from compliance monitoring work will be key in identifying areas of focus, emerging concerns, and demonstrating the positive impact of compliance work. You will also manage processes related to investigations into systemic or significant breaches. As a senior point of contact, your relationship management skills will be crucial in maintaining high-value relationships with registered firms.
- Support the development and implementation of a strategic compliance and assurance programme
- Lead the delivery of the compliance and assurance annual programme across the company's Standards and Codes
- Oversee the work of two Compliance Managers to assess adherence to the Standards and Codes
- Produce insightful data and management information based on outputs of compliance monitoring work
- Manage processes related to investigations into systemic or significant breaches
- Act as a senior point of contact and relationship manager in the Compliance and Insight team for all registered firms
What you bring:
The ideal candidate for this Senior Compliance Manager position brings extensive experience in a senior compliance, risk or audit role within the UK retail or SME financial services industry. You have proven expertise in developing regulatory strategies based on both quantitative and qualitative information. Your analytical skills are top-notch, allowing you to draw insights from various sources. Your project management skills are excellent, with a track record of successful delivery. Lastly, your strong interpersonal skills enable you to effectively deal with senior personnel.
- At least five years' experience in a senior compliance, risk or audit role in the UK retail and/or SME financial services industry
- Experience of developing and delivering regulatory and oversight strategies based on quantitative and qualitative information
- Demonstrable experience of analysing quantitative and qualitative information drawn from a range of monitoring and external sources
- Ability to implement dashboards and/or benchmarking methodologies
- Excellent project management skills with a track record of delivery
- Strong interpersonal skills with experience of dealing with senior personnel
What sets this company apart:
Our client is committed to raising standards within the financial services industry. They are a voluntary regulator and standards-setting body, with a vision that all customers receive the right outcome from their financial services provider. They offer flexible working opportunities, including hybrid or remote options, and are dedicated to supporting their employees' professional development.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
