Senior Compliance Manager (Advisory)
Oliver James Associates is currently supporting a leading specialist in financial services in their search for a Senior Compliance Manager. Primarily, the role involves assisting the Head of Compliance in relation to regulatory risk and compliance activity within the Group.
- Keep abreast of regulatory rule changes and developments, assess their impact and, as appropriate, advise and assist business heads to progress
- Support Group regulated projects, providing specialist technical guidance and support
- Manage the Advisory team as a centre of excellence for the group in embedding compliant practices within first line operations, including being involved in ad-hoc post implementation queries following legislative and regulatory changes
- Assist Head of Compliance (Advisory, Policy & Governance) in identifying and containing compliance risk, compliance monitoring and fostering a compliance culture.
- Assist Head of Compliance (Advisory, Policy & Governance in maintaining effective interactions with FCA and other regulatory bodies, as appropriate
- Advise and assist the business in ensuring that their controls are fit for purpose and effective
- Provide technical leadership and support technical excellence 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 Paragon Bank and its customers.
- Produce timely, management reports identifying areas of non-compliance with internal policy, regulatory requirements and the internal control framework
Key Skills Required:
- Demonstrate previous experience of overseeing compliance activities in a regulated environment.
- Strong communication, interpersonal and organisational skills.
- Develop own and others technical compliance knowledge on an ongoing basis.
- Interpret and apply the regulatory and financial guidelines and embrace change
- High level of self-confidence to withstand any challenges and/or criticism of the compliance process where poor practice is identified
- Appropriate financial services industry and/or compliance qualification preferred
To learn more about this opportunity please email your CV and contact details directly to Chris.Ollerton@ojassociates.com. Alternatively, if this sounds like an interesting opportunity for somebody within your network, please get in touch to refer them.