Compliance and Regulatory Risk Manager

My client are a UK retail lender with offices based in the North West of England.

Due to a planned expansion across the three lines of defence, we are assisting with the recruitment of a Compliance and Regulatory Risk Manager who will report directly into the Head of Compliance.

This person will be responsible for all compliance activities across the business and will work to develop relationships with the relevant stakeholders in to strengthen processes around :

• Compliance reporting & regulatory training,
• Financial promotions oversight,
• Regulatory policies,
• Lender and partner relationships from a regulatory perspective including audits, visits and due diligence perspective,
• SMCR and vulnerable customer oversight

Other responsibilities will include

• Being responsible for the design & implementation of all regulatory & compliance across the business
• Review, maintain, update and design any regulatory and compliance policies, working with the Head of Compliance.
• Lead the business treatment and oversight of vulnerable customers ensuring appropriate outcomes are achieved through training material, robust processes and effective oversight.
• Responsible for the identification of emerging regulatory developments impacting the business and working with the Head of Compliance to drive business engagement and ensure all new regulatory requirements are understood and embedded.
• Personality and communication skills are essential for this role. The business is dynamic and driven and the team are proud to work here. This person will need to want to add value across the business and will be particularly keen to keep in mind the business impact on their customers.
• Ideally this person will have a good understanding of risk and controls and will have previous compliance experience understanding of the application of UK regulatory standards required by the FCA under the various sourcebooks as well as a working knowledge of GDPR, DPA, AML and other relevant bodies
• Financial services or retail lending experience is advantageous.

Please click to apply.