Compliance Manager

Together Fund; Cheadle; On-site; GBP 60,000 - 90,000; Full time

Job summary

Together Fund is seeking a Compliance Manager to provide second line of defence oversight and regulatory advice, helping the business understand and meet its obligations while delivering good customer outcomes.

Reporting to the senior compliance team, you will review policies, support regulatory change, and engage with product, sales, operations and other stakeholders to embed a robust compliance framework across the organisation.

Responsibilities

• Provide timely and practical regulatory advice to business units, helping them meet compliance requirements while supporting good customer outcomes
• Review and challenge customer communications, business policies, frameworks, and procedures to ensure alignment with regulatory expectations and internal standards
• Identify and escape potential conduct risks and regulatory concerns to senior compliance colleagues and management, following established escalation procedures
• Support the implementation and embedding of regulatory change initiatives across business processes
• Attend relevant working groups and forums to provide compliance input to business activities and change initiatives
• Maintain compliance policies, procedures, and guidance under the direction of senior team members
• Conduct horizon scanning activities and communicate the potential impact of regulatory developments to relevant stakeholders
• Build effective working relationships with stakeholders, providing guidance, consultation and constructive challenge to support compliance, effective risk management and good customer outcomes
• Provide compliance input to projects, initiatives and business change activities as required
• Promote a positive compliance culture through knowledge sharing, awareness activities and reinforcement of regulatory and customer outcome obligations
• Assist in the production of compliance management information, reports, and dashboards to support oversight and decision-making
• Prepare ad-hoc compliance reports, analysis and briefing materials for key stakeholders

Job description

As a Compliance Manager you will be responsible for providing second line of defence (2LOD) oversight and regulatory advice, supporting the business to understand and meet its regulatory obligations while delivering good customer outcomes. Working in partnership with key business areas, including Product, Sales, Operations and Intermediary Relations, the role provides proportionate guidance, challenge and support to enable effective risk management and regulatory compliance.The role contributes to the Group's objectives by helping to maintain an effective compliance framework that supports sustainable growth, customer protection and positive regulatory outcomes.

As a Compliance Manager we are looking for someone to:

• Provide timely and practical regulatory advice to business units, helping them meet compliance requirements while supporting good customer outcomes
• Review and challenge customer communications, business policies, frameworks, and procedures to ensure alignment with regulatory expectations and internal standards
• Identify and escape potential conduct risks and regulatory concerns to senior compliance colleagues and management, following established escalation procedures
• Support the implementation and embedding of regulatory change initiatives across business processes
• Attend relevant working groups and forums to provide compliance input to business activities and change initiatives
• Maintain compliance policies, procedures, and guidance under the direction of senior team members
• Conduct horizon scanning activities and communicate the potential impact of regulatory developments to relevant stakeholders
• Build effective working relationships with stakeholders, providing guidance, consultation and constructive challenge to support compliance, effective risk management and good customer outcomes
• Provide compliance input to projects, initiatives and business change activities as required
• Promote a positive compliance culture through knowledge sharing, awareness activities and reinforcement of regulatory and customer outcome obligations
• Assist in the production of compliance management information, reports, and dashboards to support oversight and decision-making
• Prepare ad-hoc compliance reports, analysis and briefing materials for key stakeholders