Compliance Manager

The Compliance Manager is a role which combines compliance monitoring and advisory activity and oversight, reaching out across the breadth of the business.

As Compliance Manager, you will work in alignment with the bank’s purpose, values, vision, and strategy. You will work as part of the Second line of Defence Credit and Operational Risk Team, aiming to continually improve and promote a strong risk and compliance culture within the business.

You’ll ensure the Compliance framework is risk-based and effective in giving the business and management insight on conduct and regulatory risks, acting as an escalation point for compliance issues, liaising with the wider business areas as necessary.

Role Responsibilities

• Leading day to day management of the business’ compliance plan. Quality Assurance Methodology and Framework – completing reviews, oversight, assessing controls, providing feedback and support where required.
• Support the design, delivery and continuous improvement of the annual Compliance Monitoring Plan.
• Provide regulatory compliance advisory support in articulating regulatory matters, providing business support and advice (e.g. new products, reviews, regulatory change impacts).
• Manage, support and escalate breaches and risk events.
• Maintain and update the compliance risk registers and associated controls to ensure alignment with wider operational risk management and the first line operational areas.
• Provide technical and operational support to the first line Complaints team with FCA-regulated complaints.
• Provide Compliance Training to all new employees and refresher training to existing colleagues on compliance matters.
• Oversee data protection requests, in particular; DSARs and deletion requests and supporting the DPO with any enquiries.
• Maintain oversight of the Conflicts on Interests register, ensuring that associated policies and procedures are applied consistently.
• Prepare and complete accurate, timely management information (MI) and reports to the required forums and committees, analysing trends and identifying emerging risks.
• Support the Horizon Scanning process, ensuring that regulatory changes are recorded, assessed and reported in a timely manner.
• Support with the annual review of associated Policies and Procedures aligned to Compliance matters.
• Carry out other duties, which may or may not be related to the job, as reasonably requested by management e.g. support with new initiatives or projects.

Required Skills / Experience

• Experience (ideally 3 years +) of working in a compliance role or similar within the financial services industry.
• Practical experience and knowledge of Financial Conduct Authority (FCA) regulations including BCOBS, CONC, DISP, Consumer Duty and Conduct Risk.
• Has the ability to interpret and apply regulatory requirements to provide practical advice to the wider business.
• Horizon scanning experience.
• Experience in compliance advice and monitoring background.
• An understanding of GDPR regulations.
• Flexible approach to work with a “can do” attitude and the ability to respond flexibly in a changing and fast paced environment.
• Strong analytical skills to design and provide MI, identify trends, root causes and to articulate the impacts.
• Excellent stakeholder management experience and strong communication skills to engage with the wider business and cross-functions.
• Proficient user of Word, Excel, PowerPoint, SharePoint and Outlook.
• Ideally, you will be educated to degree level or equivalent level of qualification.
• Industry recognised compliance qualification.

Alongside this we can offer you:

• A very competitive salary with an excellent benefits package.
• 25 days holiday, plus 8 days bank holiday (this increases with service).
• Oxbury Bonus scheme.
• Free Personal Training session every week.
• Private Medical Healthcare.
• Employee Assistance Programme.
• Life Insurance.
• Enhanced maternity/paternity leave.

Please note that we do not offer sponsorship with this role.

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