Compliance Manager, Birmingham
Highly regarded bank and financial services provider with an excellent product range and reputation.
To support the Head of Compliance, in relation to regulatory risk and compliance activities within the Group. Contribute to the implementation and monitoring of the application of Group policies, governance frameworks, procedures, practices and standards to ensure quality, effective risk management and regulatory compliance. Provide consultancy and advisory assistance to Group’s business owners and assist with ad hoc investigations and projects as necessary, ensuring regulatory and conduct risks are considered.
- Keep abreast of regulatory rule changes and developments, assess their impact and, as appropriate, advise and assist business head to progress any necessary changes
- Support Group regulated projects, providing specialist technical guidance and support
- Act as a centre of excellence for the Group in embedding compliant practices within the first line operations, including being involved in ad-hoc post implementation queries following legislative changes
- Provide technical leadership and support by searching out external best practice, monitoring technical and professional developments, sharing knowledge and encouraging others to do the same in the best interests of the Group and its customers
- Advise and assist the business in ensuring that their controls are fit for purpose and effective
- Produce timely, management reports identifying areas of non-compliance with internal policy, regulatory requirements and the internal control framework
- Develop a constructive and collaborative relationship with business areas
Mike Kelly, Senior Consultant