Compliance Manager

Compliance Manager


West Midlands

Hybrid, Permanent

£60,000 - £70,000 Per Year


Kind Consultancy is working with a fast-growing challenger bank which is currently seeking a Compliance Manager to join them in a full-time, permanent role paying up to £70,000 with a predominantly remote working model requiring one day every 2-4 weeks in-office in the West Midlands.

The Compliance Manager will support the Head of Compliance & MLRO and Senior Compliance Manager in designing, delivering, embedding and executing the bank’s Compliance & Conduct Risk Framework, with key responsibilities including:

  • Supporting the 1st line on regulatory compliance, customer outcomes and financial crime.
  • Providing Compliance and Financial Crime expertise in any projects.
  • Managing the Bank’s Regulatory Management System (RMS), acting as SME on compliance and conduct matters.
  • Undertaking compliance monitoring in line with the Annual Compliance Plan, producing quality reports with clear, concise observations and agreeing actions and timescales with 1LOD. Monitoring and tracking to delivery.
  • Working closely with Internal Audit to ensure the Annual Compliance Plan compliments the bank’s Audit Plan
  • Managing the bank’s incident and breach reporting process.
  • Providing periodic and ad-hoc oversight and investigations e.g. incidents, breaches, complaints, regulatory reporting, operational risk loss events, annual product reviews, RCSAs etc. with a compliance & conduct lens.
  • Managing and monitoring compliance activity within the Bank’s GRC system.
  • Producing clear, quality compliance reports as required.
  • Supporting the Head of Compliance in the delivery of compliance & conduct-related training.
  • Maintaining oversight and sign off on behalf of Compliance on product and marketing material as well as client communications

Our ideal candidate for the Compliance Manager opportunity:

  • Has 5+ years’ experience working in a management role in a 2LOD compliance & conduct or AML function.
  • Has experience of working with senior management to provide compliance & conduct-related support and advice to 1LOD, preferably working in a 2LOD environment.
  • Has a track record of successfully promoting and developing a customer centric approach, with customer outcomes central to decision making.
  • Has previously held a role involving providing AML and financial crime oversight and guidance to 1LOD with regards to control frameworks and referrals.
  • Has experience of horizon scanning, writing or updating Compliance Policies and of reviewing and understanding regulatory publications, including regulatory handbooks, policy statements and guidance notes.
  • Having worked on the implementation of Consumer Duty at a comparable organisation would be highly desirable experience, as would having delivered training on compliance, conduct and/or financial crime (including AML) is desirable.
  • Holds strong regulatory knowledge of FCA regulation and AML legislation and of key compliance and regulatory topics, including Consumer Duty.
  • Is able and willing to understand and interpret regulations and regulatory guidance for the bank, including senior management.
  • Has excellent communication skills, both written and presenting. and strong interpersonal and communication skills, with the ability to develop key relationships a business

If you're interested in the Compliance Manager opportunity, you are based in or can travel to the West Midlands and you have the skills and experience we're looking for, please apply with an updated CV today.

Get in touch