Senior Compliance Manager

I am delighted to be supporting a dynamic local business seeking to recruit a Senior Compliance Manager to play a critical role in ensuring the firm’s compliance with the Financial Conduct Authority (FCA) regulations, specifically in relation to mortgage lending and administration. This role involves implementing and maintaining compliance policies, overseeing regulatory reporting, providing advisory support to the business, and managing regulatory risks effectively.

Key responsibilities include:

• Regulatory Compliance with all relevant FCA rules, including the Mortgage Conduct of Business (MCOB) sourcebook.
• Provide expert advice on regulatory obligations and changes, including Consumer Duty, and Anti-Money Laundering (AML) requirements.
• Lead the review and maintenance of compliance policies and procedures
• Act as a key point of contact for regulatory bodies
• Act a key point of contact for group audit purposes
• Oversee compliance with SYSC 8 requirements, ensuring that outsourcing and operational risk management align with regulatory expectations.
• Oversee the firm’s compliance monitoring plan, ensuring appropriate risk-based monitoring activities are implemented and maintained.
• Identify, assess and manage regulatory risks across the firm, aligning with the group risk framework.
• Provide periodic compliance reports to senior management and the board.
• Support the Money Laundering reporting Officer (MLRO) in fulfilling AML obligations.
• Conduct AML and Financial Crime risk assessments and ensure compliance with regulatory requirements.
• Support the review and investigation of Suspicious Activity Reports (SARS) and other financial crime matters

The successful candidate will hold a relevant compliance qualification, e.g. ICA or equivalent, combined with at least three years direct experience working at a management level in a compliance role.

This role offers an excellent salary and benefits package plus hybrid working.

For further information, please contact Laura Vatter.