Compliance Manager

Compliance Manager

Ref: 849Wednesday 28 November 2018

up to £60k ( depending on experience)

This vacancy is now closed

Our client, a highly successful and established specialist mortgage lender and savings provider based in Surrey, is currently recruiting for a Compliance Manager to join their established team.  The main purpose of the role is to assist with the provision of compliance services within the Group ensuring compliance with all legislation as it affects the Group’s operations and promoting a culture of compliance throughout the business.


The ideal candidate will have 5+ years’ experience in a compliance role gained within a bank or other mortgage lender or financial services provider.  You will also have experience of undertaking compliance monitoring activities and producing reports for senior management and a good working knowledge of FCA Handbooks and Regulatory Guides in relation to retail products and services (in particular MCOB, BCOBS).  As you will be managing a small team of 3, you need to be a ‘hands on’ manager with 2 years+ leadership experience.


Core responsibilities include:


  • Day to day management and development of the Compliance Officers and Assistants within the Compliance team.
  • Promote a culture of compliance across the business by engaging teams in understanding compliance requirements and designing compliant work practices and customer communications.
  • Review new legislation, regulatory requirements and Codes of Practice and assess and communicate the impact of such changes on the Group’s operations.
  • Conduct reviews to report on the level of the Group’s compliance with legislation, regulatory requirements and Codes of Practice and any resulting recommendations.
  • Assist with the recording, monitoring and reporting of complaints, to include the on-going maintenance and development of the complaints database.
  • Assist in the assessment of training and competency requirements of employees, and in the development of internal training courses, as required.
  • Produce statutory management information or other reports as requested relating to the compliance function within specified timescales.
  • Identify and assist in the implementation of improvements to the operation of the Compliance team


Skills & Experiences required:


  • Experience of working in an FCA and PRA regulated organisation either in a Compliance role or in a Savings/Mortgage team.
  • An ability to assimilate complex technical information and understand its implications for, and impact on the business
  • An ability to monitor and review current practices and summarise findings and recommendations
  • An ability to create and maintain work plans
  • Experience of managing a small team
  • An ability to communicate complex ideas in a non-technical way
  • Excellent report writing skills

An insight into/experience of how to use technology to enhance working practices