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Senior Compliance Manager

Kind Consultancy is working with a growing FinTech business which is currently seeking a Senior Compliance Manager to join them in a full-time, permanent role paying circa £70,000 with a hybrid work model based out of their London offices.

The Senior Compliance Manager will provide high-quality guidance across the business on regulatory and compliance matters, with key responsibilities including:

  • Delivering accurate advice on regulatory manners in a timely manner, including FCA Handbook requirements
  • Maintaining up to date knowledge of regulatory and industry developments and advising the senior team on the necessary actions ahead of regulatory change etc
  • Participating in key business projects, providing Compliance input
  • Making sure that the Compliance Manual and all relevant policies and procedures are kept up to date
  • Supporting colleagues through Compliance Investigations or Reviews
  • Where required by the Head of Compliance, liaising with the FCA and responding to regulatory information requests.
  • Contributing to a strong, positive Compliance culture by building good working relationships across the business

Our ideal candidate for the Senior Compliance Manager opportunity:

  • Has 3+ years of experience in Compliance roles within Financial Services – ideally with FinTech exposure
  • Demonstrates in-depth knowledge of the UK regulatory environment, including all relevant FCA Handbooks
  • Is an excellent communicator in writing and speech, able to quickly build lasting working relationships and to translate complex Compliance topics for a variety of audiences
  • Has a track record of successfully interpreting and applying new regulations for a Financial Services business
  • Is analytically minded and highly organised with exceptional attention to detail.
  • Is highly motivated, with a desire to drive business-wide improvement and create a positive Compliance culture.

If you’re interested in the Senior Compliance Manager opportunity and you have the skills, knowledge and experience we’re looking for, please apply with an updated CV today.

Director of Risk & Compliance

Kind Consultancy is working with a well-established and successful Financial Services organisation which is currently seeking a Director of Risk & Compliance to join them in a full-time, permanent role, predominantly remote with once per month travel to their West Midlands offices, paying up to £100,000 dependent on experience.

The Director of Risk and Compliance will lead the risk and compliance functions working within a dual-regulated financial services environment, ensuring that the organisation meets all regulatory requirements and cultivates a robust risk culture, with key responsibilities including:

  • Developing, implementing, and continuously enhancing policies, procedures, and frameworks to ensure compliance with all applicable regulations.
  • Monitoring regulatory changes and assessing their impact on the organisation, advising and supporting the business to adjust strategies accordingly.
  • Owning the Compliance Management System and ensure it meets with regulatory requirements, whilst remaining fit for purpose and delivering value for the business.
  • Liaising with regulatory bodies in a collaborative and transparent manner (PRA, FCA, ICO, etc.), ensuring timely and accurate reporting and submissions.
  • Supporting the board, executives and senior management to make informed decisions that consider regulatory and conduct risk.
  • Reviewing, guiding and escalating issues related to new propositions, business operations and identified incidents while taking care to ensure appropriate oversight, controls, and a customer centric approach is taken.
  • Maintaining a horizon scanning programme, including oversight of key regulatory systems and emerging risk landscapes.
  • Developing and maintaining strong relationships with key stakeholders by partnering and challenging risk and compliance control environments.
  • Leading the continuous development and maintenance of our risk management framework that identifies, evaluates, mitigates, and reports on risks in a dual-regulated environment.
  • Improving or establishing key risk indicators and reporting systems to monitor and manage risk exposure against risk appetite.
  • Investigating any breaches of risk appetite, suggesting mitigatory actions, or amendments to the business’ appetite and tolerance.
  • Owning the Risk Management System and ensuring it meets with regulatory expectations, whilst remaining fit for purpose and delivers value for the business.
  • Ensuring that risk management processes are integrated into all aspects of the business’s operations.
  • Managing the day-to-day implementation of the risk software system, ensuring it remains fit for purpose, information remains accurate and up-to-date, and the business uses the system proactively.
  • Fostering and improving a proactive risk culture across the organisation by embedding risk awareness into day-to-day operations and strategic decision-making.
  • Partnering with other departments (e.g. sales, finance, operations) to ensure integrated risk management and compliance across the business.
  • Developing long-term strategies to enhance risk management and compliance functions, aligning with the overall business strategy.
  • Designing and delivering on short-term action plans to close gaps and deliver on strategic goals.
  • Overseeing the strategic implementation of the risk management and compliance management systems, ensuring continuous improvement and regulatory compliance.
  • Developing, implementing, and maintaining data privacy policies, procedures, and frameworks to safeguard personal and sensitive information.
  • Ensuring the business’s data handling practices align with regulatory requirements and industry best practices.
  • Ensuring appropriate data retention, deletion, and security measures are in place to protect personal data.
  • Identifying, assessing, and mitigating privacy-related risks, embedding data protection principles across the business.
  • Supporting the completion of data protection impact assessments (DPIAs) for new projects, technologies, and processes that involve personal data.
  • Leading investigations into data and security incidents and data breaches, ensuring appropriate remediation and reporting procedures are followed.

Our ideal candidate for the Director of Risk & Compliance opportunity:

  • Holds one or more risk management qualifications, such as IRM Certificate or Diploma (or equivalent) and one or more compliance qualifications, such as ICA Certificate in Compliance or Diploma (or equivalent) – holding data privacy and information security qualifications would be advantageous, as would a specialist certification in risk management and compliance.
  • Has extensive knowledge of regulatory frameworks, including FCA/PRA requirements, and experience in fulfilling the Senior Management Function 16 (SMF16) role, ensuring effective risk governance and regulatory compliance.
  • Has a comprehensive understanding of the UK financial services regulatory systems, including the FCA handbook, and PRA rulebook, with specific knowledge of SYSC, ICOBS, PRIN, COCON, and Solvency II/Solvency UK – working knowledge of Introducing Appointed Representatives (IAR) compliance would be desirable.
  • Possesses a proven track record in a senior risk management and compliance role, ideally within financial services, or a regulated environment, with oversight of multiple risk categories.
  • Has expertise in managing a function against budget, identifying cost efficiencies, or areas requiring additional expenditure, and expertise in in risk oversight, ensuring robust internal controls, assurance frameworks, and compliance with industry standards such as ISO 31000 (Risk Management) and ISO 27001 (Information Security).
  • Has strong experience in advising and influencing senior executives and boards, providing strategic risk insights and ensuring risk considerations are embedded into decision-making.
  • Possesses a comprehensive understanding of data protection laws (e.g., GDPR), information security standards, and governance structures to safeguard organisational data.
  • Has extensive experience of writing and delivering risk and compliance reporting to a Non-Executive, Executive, and Senior Management audience.
  • Can demonstrate an inn-depth understanding of regulatory frameworks and industry standards, ensuring the organisation meets compliance requirements and maintains effective governance structures.
  • Has a track record of successfully implementing and monitoring risk frameworks, ensuring robust risk controls and providing oversight across business functions.
  • Has very strong interpersonal and communication skills to engage with the Executive Committee, senior leadership, and external regulators, effectively articulating risk-related insights and recommendations.
  • Is able to assess complex risk scenarios, make informed recommendations, and drive sound decision-making within a dynamic business environment.
  • Has expertise in overseeing compliance and risk governance structures, ensuring alignment with best practices and continuous improvement in management frameworks.
  • Is able to navigate regulatory changes, business challenges, and emerging risks while maintaining a strategic, solutions focused approach.
  • Displays extensive team leadership skills, with ability to lead and manage a small, technical team of subject matter experts.

If you have the necessary skills, knowledge, experience and qualifications and are interested in the Director of Risk & Compliance opportunity, please apply with an updated CV today.

Compliance Monitoring Officer

Kind Consultancy is working with a fast-growing Alternative Financial Services business which is currently seeking a Compliance Monitoring Officer to join them in a full-time, permanent role paying £55,000 to £65,000 with a hybrid work model based out of their central London office.

The Compliance Monitoring Officer will support the Compliance Monitoring Manager in delivering a Compliance Monitoring Plan (CMP) which provides assurance to senior management and board that the organisation is operating within the compliance risk appetite, and in line with the relevant conduct guidance and UK regulations, with key responsibilities including:

  • Undertaking 2nd line compliance monitoring activities as part of the risk-based Compliance Monitoring Plan (CMP)
  • When required, providing subject matter expert advice and support on monitoring of Anti-Financial Crime Second Line of Defence (AFC 2LOD) monitoring,
  • Supporting the Compliance Monitoring Manager with the development of compliance monitoring practices and data collection techniques and with embedding a strong compliance culture across the organisation.
  • Working closely with the AFC 2LOD team, to ensure the activity effectively covers AML, counter terrorist financing, sanctions and fraud risk.
  • Accurately assessing the risk of any issues identified, to enable effective prioritisation of reporting and subsequent action tracking.
  • Maintaining awareness of broader conduct risk and regulatory expectations in respect of treating customers fairly and Consumer Duty, providing support and guidance to colleagues and demonstrating appropriate personal conduct.
  • Escalating significant issues to the Compliance Monitoring Manager at the earliest opportunity, to enable discussion and relevant action to be taken.
  • Ensuring records of activity and issues are retained and tracked to completion.
  • Assisting the Compliance Monitoring Manager with the development of monitoring techniques through the use of data and MI, where possible utilising technology to its advantage to maximise resources and efficiency.
  • Delivering constructive feedback and challenge through positive stakeholder engagement and relationships.

Our ideal candidate for the Compliance Monitoring Officer opportunity:

  • Has a substantial background of work in a regulated Banking/Financial Services environment.
  • Has previously completed compliance monitoring activity (Thematic, Focus, Continuous or Deep Dive Reviews) under delegated authority, ideally within a bank.
  • Can utilise technology to develop data and MI to support a Compliance Monitoring Plan
  • Has strong report writing experience.
  • Has a good understanding of understanding Payment Services (especially banking as a service business models), Retail Banking, Merchant Acquiring and Card Issuing (including Payment Scheme rules), the Provision of Safeguarding Accounts, Commercial Lending (including unregulated secured loans via broker distribution), Retail Deposit-Taking (Including via deposit aggregators and depositor protection rules) and Consumer Lending
  • Is able to consider the requirements of Consumer Duty and Treating Customers Fairly within the broader customer outcomes assessed during reviews.

If you’re interested in the Compliance Monitoring Officer position, you’re based in or can commute to London and you have the necessary skills, knowledge and experience, please apply with an updated CV today.

Compliance Monitoring Officer

Kind Consultancy is working with a large, national Financial Services business which is currently seeking a Compliance Monitoring Officer to join them in a full-time, permanent position paying up to £32,000 with a hybrid work model requiring 2-3 in-office days per week in their Milton Keynes offices.

The Compliance Monitoring Officer will support the delivery of second line monitoring across the business, with key responsibilities including:

  • Contributing to the preparation of the Compliance Monitoring Plan, which is risk-based, and approved by the Group Risk & Compliance Director and Group Audit & Risk Committee.
  • Preparing regular, timely, relevant and concise reporting on the Monitoring findings for management, including recommendations for addressing any weaknesses identified.
  • Tracking and reporting on the progress of remedial actions and where appropriate, guiding management in implementing necessary improvements.
  • As required, acting as “Lead Monitoring Officer” to manage specific reviews and coordinate the activities of other Monitoring Officers in relation to that work.
  • Working closely with key business areas and stakeholders, for example the Case Checking Team, across the business to implement the agreed approach to Compliance Monitoring.
  • Staying updated on best practices and external developments in the area of Monitoring and ensure that learning is applied.
  • Undertaking special investigations as required in response to breaches or other issues arising.
  • Identifying and escalating at the earliest opportunity any significant regulatory issues to the line manager in a clear and accurate manner.
  • Conducting onsite visits as required to enable planning, testing and reporting to take place.

Our ideal candidate for the Compliance Monitoring Officer opportunity:

  • Must have relevant experience within Financial Services industry, with particular knowledge of mortgage services.
  • Has a sound understanding of FCA Regulation, including MCOB, ICOBS and DISP.
  • Is a team player, with the ability to work unsupervised.
  • Has a proven ability to build strong and effective working relationships with stakeholders.
  • Demonstrates consistently strong attention to detail and ability to deliver high quality written work and reporting.
  • Displays effective oral and written communication skills.
  • Has the confidence and credibility to provide appropriate and commercial challenge to the business.
  • Holding a professional mortgage qualification (CF1, CF6) or being willing to study for one would be desirable, as would holding a professional compliance qualification (ie. ICA Diploma or Advanced Certificate)

If you’re interested in the Compliance Monitoring Officer position and you have the necessary skills, knowledge and experience and live in or can commute to Milton Keynes, please apply with an updated CV today.

Third Party Oversight Specialist

Kind Consultancy is working with a leading Financial Services organisation which is currently seeking a Third Party Oversight Specialist to join them in a 6 month remote contract, inside IR35 paying up to £365 per day via umbrella.

The Third Party Oversight Specialist will focus on ensuring that the organisation’s Third Party Management function meets regulatory requirements and is manging risks within the set appetite, with key responsibilities including:

  • Actively partaking in the development of the Supplier Management Framework and supporting activities.
  • Utilising knowledge of the Regulatory environment to develop the supporting processes required to underpin regulatory compliance.
  • Contributing to Third Party Management reporting.
  • Ensuring procurement policies and processes are aligned to organisational strategy and values, enabling the business to grow through contracting with third parties.
  • Encouraging and supporting third party management compliance across the bank, providing guidance and knowledge transfer to the Supplier Relationship Manager (SRM) community and internal Subject Matter Experts.
  • Supporting Supplier Relationship Managers and business areas with Third Party Management, providing guidance, challenge and reviewing inputs.
  • Providing input into reporting on third party assessments, including trend analysis and key insights.
  • Developing, supporting the management of the Third Party Management process, continually looking for ways to improve.
  • Regularly checking for regulatory changes or notifications, providing overview and potential impact of any relevant Outsourcing and Third-Party regulatory activity to key stakeholders.
  • Supporting the Assurance activities in relation to Third Party Risk Management.
  • Ensuring processes and procedures within Supplier Management comply with regulations.

Our ideal candidate for the Third Party Oversight Specialist contract:

  • Has a good knowledge of Risk Processes and SS2/21
  • Has a strong understanding of the current UK regulatory environment, especially as it relates to Third Party Risk Management
  • Demonstrates strong analytical and problem-solving skills.
  • Is highly articulate with excellent interpersonal & communication skills, the ability to influence in a collaborative manner and the confidence and credibility to present to large groups on topics relating to Third Party Management
  • Has a substantial track record of work in a regulated environment and / or with suppliers.
  • Has working knowledge of relevant Microsoft software, including Project, Visio; Excel; PowerPoint, SharePoint and Word.

If you’re interested in the Third Party Oversight Specialist contract and you have the necessary skills, knowledge and experience, please apply with an updated CV today.

Senior Compliance Monitoring Manager

Kind Consultancy is working with a succesful, growing Challenger Bank which is currently seeking a Senior Compliance Monitoring Manager to join them in a full-time, permanent role based in their West Midlands office.

The Senior Compliance Monitoring Manager will focus on delivering a risk-based Compliance Monitoring plan, tailored to the organisation’s customers and products, with key responsibilities including:

  • Managing delivery of the annual Compliance Monitoring plan, ensuring timely delivery of compliance monitoring activities to ensure adherence to both regulatory and internal policy
  • Undertaking and managing the Compliance Monitoring team in the completion of compliance monitoring activities
  • Producing timely management reports, identifying areas of non-compliance with internal policy, regulatory requirements and the internal control framework
  • Reviewing, monitoring and tracking actions from reports completed by external auditors, ensuring a timely and satisfactory closure is achieved and evidenced by an audit trail
  • Cultivating and developing an enthusiastic and engaging team, encouraging open dialogue with all colleagues to engender trust and drive continuous improvement.
  • Demonstrating creative thinking, challenging existing processes and proposing new ways of working to maximise efficiency.
  • Adding value by tailoring Compliance Monitoring activities to a variety of challenges as they arise and encouraging team members to do the same
  • Reviewing and challenging existing reporting mechanisms and formats to ensure that Compliance Monitoring reporting is engaging, visual and clearly directs the recipient to the key areas of concern or interest.
  • Adopting an open-minded approach to problem solving, seeking pragmatic and cost-effective solutions to business and regulatory issues and subsequently ensuring that the team measure and monitor the performance of those solutions, allowing for swift identification of ongoing and repeat issues
  • Representing Compliance Monitoring at stakeholder and client facing meetings

Our ideal candidate for the Senior Compliance Monitoring Manager opportunity:

  • Demonstrates experience and understanding of the FCA Handbook, specifically PRIN, SYSC, COCON, CONC, COBS, BCOBS, MCOB, DISP and SUP in addition to the Payment Services Regulations (PSR), with the ability to apply this knowledge to day-to-day decision making.
  • Has 5+ years of experience working in a Compliance role within Financial Services, with experience of managing team performance.
  • Is an excellent communicator, able to adapt their style to provide pragmatic feedback and guidance both verbally and in written reports
  • Is an engaging team leader, inspiring reports to produce high quality, value-adding outputs
  • Has a track record of succesful risk-based decision making, and of influencing key stakeholders to reduce regulatory and conduct risks
  • Is confident in managing their own workload and deliverables, ensuring high standards of quality and monitoring
  • Is able to interpret regulatory developments and apply them to the organisation’s activities
  • Holds one or more relevant industry qualifications such as the International Compliance Association (ICA) GRC Diploma (not essential but highly desirable)

If you’re interested in the Senior Compliance Monitoring Manager opportunity and you have the necessary skills, knowledge and experience and are based in or can commute to the West Midlands, please apply with an updated CV today.

Training & Competence Supervisor

Kind Consultancy is working with a succesful, growing Wealth Management firm which is currently seeking a Training & Competence Supervisor to join them in a full-time, permanent role paying up to £45,000 with a hybrid work model requiring 2-3 in-office days per week in their Birmingham office.

The Training & Competence Supervisor will support the delivery of an effective Training & Compliance function, implementing and maintaining high standards, with key responsibilities including:

  • Providing compliance guidance and training to relevant employees of the business
  • Drafting and updating Training & Compliance policies and procedures
  • Working closely with the Head of Compliance to support all business areas with compliance related issues
  • Understanding complex management and regulatory information and translating it into easy to understand forms for key stakeholders
  • Conducting regular internal reviews to ensure that compliance procedures are followed
  • Ensuring that everyone connected to the firm’s regulated business has the skills, knowledge, and expertise to carry out their role appropriately (including non-advisory employees)
  • Developing clearly defined criteria and procedures, setting out the specific point when someone will be assessed as being competent.
  • Measuring and reporting meaningful KPI’s which reflect the needs of the business and allow for measurement of potential risk to the business.
  • Maintaining appropriate records to evidence compliance with the FCA’s Training and Competency requirements, documenting all aspects, from the recruitment of individuals, induction and initial training, through to attaining and maintaining competency.
  • Ensuring all staff (including new staff) are aware of the firm’s complaints handling procedures.
  • As instructed by the Head of Compliance, review any complaints against the firm and deal with them in accordance with the Regulator’s complaints handling rules

Our ideal candidate for the Training & Competence Supervisor role:

  • Has a background in IFA or Mortgage related work
  • Has significant experience of delivering training, preferably relating to compliance within Financial Services
  • Has an in-depth understanding of current UK Financial Services regulations
  • Holding a Level 4 Diploma in Regulated Financial Planning would be highly desirable

If you have the skills, qualifications, knowledge and experience we’re looking for, you live in or can commute to Birmingham and you’re interested in the Training & Competence Supervisor position, please apply with an updated CV today.

Governance and Compliance Manager

Kind Consultancy is working with one of the UK market leaders in payroll and payments, which is currently seeking a Governance and Compliance Manager to join them on a 12-month fixed term contract, paying a competitive salary, predominantly remote requiring travel to their Birmingham office a couple of times a month.

Supporting the Group Head of Compliance, the Governance and Compliance Manager will deliver operations governance and compliance at the 2nd line of defence, sustaining standards for a diverse range of products and services, with key responsibilities including:

  • Assisting the Group Head of Compliance with policy setting to inform the business on all applicable regulatory matters.
  • Delivering on product governance, and implementation of key Governance, Risk and Compliance projects under senior leadership.
  • Maintaining and enhancing a highly effective, engaging, and dynamic GRC education and awareness programme in consultation with specialist stakeholders, leveraging methods and forums to sustain standards of compliance and nurture good conduct and ethical behaviours.
  • Staying up-to-date and informing the business on statutory and regulatory changes, keeping codes of practice pragmatic but capable of influencing the right behaviours.
  • Sustaining governance expectations for the business and cascading to the Supplier Assurance Manager to integrate into the supplier assurance programme.
  • Supporting the implementation of a principles-based GRC culture to compliment the corporate governance framework, good conduct and ethics.
  • Developing the organisation’s certifications approach to successfully maintain the certifications programme in collaboration with other stakeholders.
  • Supporting the Group Head of Compliance with the development of Group statements that unequivocally convey regulatory requirements, whilst upholding principles and raising awareness (for example to anti-modern slavery and human trafficking, codes of conduct, whistleblowing, and conflicts of interest).
  • Providing high quality but expedient practical stakeholder consultations, advisory and bid support, and customer audit activities on corporate governance matters to sustain the reputation of our brand.
  • Supporting the preparation of regulatory submissions.

Our ideal candidate for the Governance and Compliance Manager fixed-term contract:

  • Is qualified to a Degree level, preferably in a field related to Governance, Risk and Compliance and / or has 5 or more years of demonstrable and practical experience sustaining Compliance with internationally recognised standards and regulations.
  • Displays strong presentation, policy and report writing skills.
  • Is an effective communicator and influencer with multi-stakeholder groups to create great employee experiences.
  • Has a customer-centric approach to work, with both internal and external stakeholders.
  • Can make informed decisions about enforcing company policies and practices.
  • Has extensive knowledge and experience of statutory and regulatory requirements.

If you’re interested in the Governance and Compliance Manager fixed term contract and you have the necessary skills, knowledge and experience, please apply with an updated CV today.

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A specialist recruitment and executive search firm specialising in interim and permanent Governance, Risk, Compliance, Complaints, Financial Crime and Change & Transformation roles across Financial Services

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