Compliance Policy & Advice Manager

Compliance Policy & Advice Manager

Compliance, Compliance Advisory

Hybrid, Permanent


Kind Consultancy is working with a well-established Retail Financial Services firm which is currently seeking a Compliance Policy & Advice Manager to join them in a full-time, permanent role paying circa £55,000 (dependent on experience) and based in their West Midlands office with a hybrid work model.

As part of the Risk team, the Compliance Policy & Advice Manager will provide sound, accurate and commercial advice on regulatory (conduct and prudential risk) matters affecting the firm, with key responsibilities including:

  • Managing and leading a small team of Compliance Business Partners.
  • Providing advice and guidance to the business on technical regulatory issues, utilising broad Financial Services knowledge to contribute to policy changes to in-house regulations, analysing the impact of regulatory changes, appreciating when potential issues require escalating, and ensuring the implementation of any required changes to internal policies and procedures.
  • Developing team knowledge and competence in technical areas, minimising the impact of staff turnover and maintaining continuity of support.
  • Ensuring that the business attains the highest standards of conduct and data protection regulatory compliance, in all areas of business operation, meeting all appropriate regulatory and legislative requirements
  • Providing subject matter expert advice on all conduct related regulatory sourcebooks (BCOBS, MCOB, ICOB, CONC, PERG, SYSC etc.) as well as providing horizon scanning overviews of relevant Prudential Compliance matters.
  • Meeting regulatory and legislative timescales, providing well-structured, well-considered summaries of proposed regulatory change to the business and collating responses to the regulator as required.
  • Participating in, and at times leading, projects and initiatives in support of improving the processes and products offered to customers
  • Producing MI and regulatory update reports for presentation at various levels of committees including regulatory timeline updates to the Executive and the Board.

Our ideal candidate for the Compliance Policy & Advice Manager opportunity:

  • Has 5 or more years of retail banking or building society experience with a minimum of 3 years exposure to Compliance/Risk activity.
  • Has proven team leadership experience and excellent spoken and written communication skills and the ability to communicate with and present to, a wide range of stakeholders at all levels of seniority
  • Is educated to A level standard or equivalent and holds a Regulatory/Compliance qualification, e.g. FPC, CeMap, AdvCeMap, CERGI.
  • Is highly computer-literate

If you have the skills, experience and qualifications we're looking for and you're interested in the Compliance Policy & Advice Manager role, please apply with an updated CV today.

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