Senior Compliance Manager – Regulatory Risk

This is a fully remote position, open to applicants in United Kingdom.

📋 Description

• Provide independent oversight of Regulatory Compliance Risk as a second line across the Group.

• Assist the Director of Compliance & Conduct with responsibilities related to Compliance and Conduct Risk.

• Manage the regulatory horizon-scanning process for the Group.

• Identify, communicate, and delegate relevant regulatory developments to business owners.

• Oversee and challenge first-line assessments of impact and the implementation of changes driven by regulatory requirements.

• Own and uphold the Regulatory Compliance Risk Framework, along with pertinent policies and supporting standards.

• Ensure compliance with requirements and provide a second-line challenge on any gaps, exceptions, and inconsistencies.

• Supervise the identification, assessment, monitoring, controls, and remediation of Conduct Risk.

• Aggregate and challenge significant risks, issues, and control weaknesses.

• Identify cross-business themes and escalate inadequately managed risks.

• Provide reporting on Conduct Risk and Regulatory Compliance to governance forums.

• Analyze conduct events, complaints, customer outcomes, and other data to identify risks, trends, root causes, and systemic issues.

• Offer pragmatic regulatory advice and guidance to the business.

• Oversee activities related to regulatory awareness and the management of regulatory permissions.

• Analyze regulatory issues and themes to aid in root-cause identification and Group change initiatives.

• Drive appropriate improvements to business practices and the control environment.

• Cultivate an effective Compliance and Conduct culture throughout the Group.

⛳️ Requirements

• Strong understanding of the financial services regulatory landscape, including relevant FCA requirements, regulatory change processes, permissions, and Regulatory Compliance Risk.

• Good comprehension of risk management frameworks and the integration of regulatory obligations into business processes, controls, and decision-making.

• Strong analytical and judgment skills.

• Ability to interpret regulatory developments, assess their materiality, and translate requirements into clear, proportionate expectations.

• Capacity to manage multiple complex priorities effectively.

• Ability to constructively challenge business decisions and practices.

• Capability to hold first-line stakeholders accountable for regulatory obligations and agreed actions.

• Highly credible and influential relationship-management skills at all levels of seniority.

• Integrity, independence, and sound judgment.

• Commitment to openness, transparency, and constructive challenge.

• A relevant professional compliance qualification, such as the ICA Diploma or ICA Advanced Certificate, is desirable but not mandatory.

• Extensive experience in regulatory compliance within UK financial services.

• Strong understanding of FCA requirements, regulatory risk management, and second-line oversight.

🏝️ Benefits

• Market-leading family-friendly policies, including access to Maternity, Adoption, and Paternity policies from Day 1 of employment.

• Complimentary access to the Headspace mindfulness and meditation digital health app.

• Complimentary access to the Peppy digital health app.

• Employee Assistance Programme (EAP).

• Cycle to work scheme.

• Discounts on gym memberships.

• Contributory pension scheme.

• Death in service benefit.

• Minimum of 27 days of holiday per year.

• Option to buy or sell holiday days through the flexi-holiday scheme.

• Discounts on gym memberships nationwide.

• Discounts on high street and online brands.

• Community support and charitable giving.

• Participation in an annual discretionary bonus scheme.

• Shawbrook recognition scheme.