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Compliance Assurance Manager
Compliance Assurance Manager
About the Role:
This is an exciting, newly created role with a banking institution. As the Compliance Assurance Manager, you will be responsible for leading a small team of monitoring and advisory compliance officers, reporting directly to the Head of Compliance. This is a deputy head of compliance role. This senior role involves engaging with senior stakeholders and driving compliance initiatives across the organisation.
Key Responsibilities
1. Compliance Monitoring & Risk Management:
– Identify and manage compliance risks.
– Deliver the Compliance Monitoring Programme and produce regulatory compliance reports.
– Implement and monitor approved recommendations.
2. Policy & Framework Development:
– Prepare and update compliance policies and frameworks, including Conduct Risk, Consumer Duty, SM&CR, and Certification Regime frameworks.
– Ensure alignment with corporate standards and regulatory requirements.
3. Team Leadership:
– Manage and support compliance staff to ensure timely, outputs.
– Foster team development through training, coaching, and performance management.
4. Regulatory Projects & Reporting:
– Lead regulatory projects and conduct gap analyses for emerging regulations.
– Ensure accurate submission of regulatory returns and respond to risk mitigation requirements.
5. Governance & Relationships:
– Represent compliance at governance forums.
– Manage relationships with regulators and ensure accurate regulatory reporting.
– Oversee the resolution of compliance issues and breaches.
6. Strategic Compliance Culture:
– Promote a proactive compliance culture by engaging with business units.
– Align compliance strategy with organizational goals and initiatives.
Candidate Requirements
– Experience: A strong background in retail banking with a solid understanding of consumer credit is essential.
– Leadership: Proven management experience and the ability to lead a team effectively.
– Skills: Excellent knowledge of regulatory frameworks and a strategic mindset for compliance risk management.
– Stakeholder Engagement: Confidence in working with and influencing senior stakeholders.
Salary and Benefits
– Base Salary: £80,000 – £100,000
– Additional Benefits: Competitive package
Location
– Essex with hybrid working (2-3 days per week in the office).
For More Information:
Please contact me for further details and a full job description at ne@barclaysimpson.com.
We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.
Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.
