Compliance Team Leader

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Leading a team of two you will be operating as part of the second line of defense by providing regulatory technical and compliance oversight and practical guidance to the business. You will play a key role in the delivery of change to meet new and upcoming regulations and the compliance strategic plan.

Your day to day will include:

• Providing expert and practical regulatory guidance, to the business in relation to its products, systems, policies, processes and controls.
• Providing pragmatic guidance on regulatory matters.
• Acting as the compliance SME on projects, governance committees and meetings.
• Analyzing and interpreting conduct risk and compliance MI sharing insights.
• Providing support to business areas on how to appropriately resolve any identified compliance issues, including root cause analysis and remediation.
• Maintaining a deep understanding of UK financial services regulation, and upcoming regulatory change, producing summaries and a Compliance Bulletin for all employees
• Being a key member of project teams providing technical compliance input.
• Engaging in advisory work to provide guidance to staff on how to comply with relevant requirements in the context of issues raised during normal business activities.
• Reviewing and approving all financial promotions, marketing material and the website, escalating concerns to the Head of Compliance.
• Ensuring a review of the “risk” rating for advisers is carried and certification information is completed in a timely manner.
• Providing oversight of the vulnerable customer process, ensuring that staff are adequately trained on the procedures in place.
• Supporting the development and review of key compliance policies, processes and controls, working with Risk and Internal Audit.
• Assisting in compliance reporting for the Executive, Board and IoF.
• Assisting in the oversight of data protection.
• Lead or assisting with investigations.

Working hours are 35 hours a week Monday to Friday. Start times can vary from 8am to 9.30am. After a successful training period there is flexibility to work from home up to 2/3 days a week.

What we require

• Excellent knowledge of regulatory and conduct risk management practices in financial services
• The ability to take a pragmatic risk-based approach on decisions that impact the business.
• Strong understanding of UK financial services regulations.
• Ability to lead, motivate and develop teams, including conflict resolution and building trust.
• Solution and delivery focused, with high energy and drive, and ability to deliver through others.
• Innovative and able to drive change to strengthen policies, processes and procedures.
• Excellent planning and report writing skills.
• Experienced in overseeing compliance issue management and remediation activities and understanding appropriate root cause analysis practices.

What we offer you

• Company Bonus up to 10% dependent on your performance and company performance
• Life Assurance (4x pensionable earnings)
• Contributory Pension scheme (company contribute up to 10%)