Compliance Advice Manager

OneFamily; Brighton; Hybrid; AUD 80,000 - 121,000; Full time

Job summary

A leading financial services company in Brighton seeks a Compliance Advice Manager to provide regulatory guidance and ensure compliance across operations. The role involves advising on regulatory changes, managing compliance initiatives, and enhancing operational standards. Ideal candidates have a strong compliance/risk background and excellent communication skills. This hybrid position offers a salary commensurate with experience plus bonuses.

Qualifications

• Experience in Data Protection, SMCR, Retail Investment, Life Insurance, Pensions.

Responsibilities

• Provide accurate advice on regulatory matters affecting the business.
• Help first line colleagues understand their risk management/compliance responsibilities.
• Conduct research and provide expert advice on regulatory matters.

Skills

Compliance / Risk background

Financial Services background

Excellent communication skills

Education

Regulatory or Compliance certifications: e.g. CII, CISI, ICA

Job description

The Vacancy

Compliance Advice Manager

About the job

Join our team as the Compliance Advice Manager and take charge of ensuring precise, timely, and commercially balanced guidance!

Your role is pivotal in championing Consumer Duty, scrutinising regulatory matters big and small, and thus enabling our Group to navigate within predetermined risk thresholds seamlessly.

With your expertise, we guarantee effective operations aligned with regulatory compliance and ethical conduct. Empower our team and elevate our standards by spearheading compliance excellence.

Role Responsibilities

• Provide sound, accurate advice on regulatory matters affecting the business, that will enable the business to operate in accordance with industry best practice as well as meeting regulatory standards.
• Provide input into the Compliance, Consumer Duty, Data Protection, & Financial Crime Risk Management Frameworks and Policies
• Keep up to date with regulatory change to ensure all applicable regulation and its impact on the business is identified at an early stage.
• Working closely with first line colleagues to help them understand fully their first line risk management / compliance responsibilities.
• Provide advice and guidance to the business on technical regulatory issues, utilising broad financial services knowledge to contribute to in‑house policy changes, analysing the impact of regulatory changes, appreciating when potential issues require escalating, and ensuring the implementation of any required changes to internal policies / procedures
• Conduct research and provide subject‑matter expert advice on all regulatory matters: FCA Handbook, Data Protection, PRA regulation and have awareness of financial legislation.
• Meet regulatory / legislative timescales providing well‑structured, well‑considered summaries of proposed regulatory change to the business and collating responses to the regulator as required
• Manage regulatory contact such as regulatory returns, applications and data requests.
• To participate in, and at times lead, projects and initiatives in support of improving the processes and products offered to customers.
• To produce MI and regulatory update reports for presentation at various levels of committees including regulatory timeline updates to the Executive and the Board

The following skills / experience is essential :

• Compliance / Risk background
• Financial Services background
• Excellent communication skills

Desired skills / experience :

• Regulatory or Compliance certifications: e.g. CII, CISI, ICA, etc
• Experience in Data Protection, SMCR, Retail Investment, Life Insurance, Pensions

Salary : £DOE + bonus + package

Location : Brighton (Hybrid)