Lead Compliance Manager

Momenta Group Global; Milton Keynes; Hybrid; GBP 65,000; Full time

Job summary

An established industry player is seeking a Lead Compliance Manager to spearhead a team dedicated to managing regulatory and conduct compliance risks. This pivotal role involves providing expert guidance on compliance matters, ensuring that risks are identified and mitigated effectively. You will influence decision-making at all levels, fostering a strong compliance culture throughout the organization. In this hybrid position, you will work closely with senior leadership to ensure the business adheres to regulatory standards while delivering excellent customer outcomes. If you are passionate about compliance and leadership, this opportunity is perfect for you.

Benefits

Discretionary bonus

Flexible benefits package

Qualifications

• Comprehensive knowledge of FCA principles and standards is essential.
• Proven leadership experience in compliance within financial services.

Responsibilities

• Lead a team managing regulatory compliance risks and provide expert advice.
• Promote a culture of compliance and conduct across the business.

Skills

FCA principles knowledge

Regulatory compliance expertise

Leadership in compliance

Analytical skills

Communication skills

Problem-solving skills

Stakeholder engagement

Education

Degree in a relevant field

Job description

Our client is seeking a Lead Compliance Manager to lead a team of Compliance Executives in managing regulatory and conduct compliance risks by ensuring compliance risks are proactively identified, mitigated, remediated, and reported on.

You will provide expert advice and guidance to the business on all matters relating to regulatory and compliance risk and promote a strong regulatory compliance and conduct culture across the business.

Your day-to-day activities will include:

• Lead and develop a team of Compliance Executives responsible for regulatory advisory and business change/project delivery.
• Ensure that compliance risks are proactively identified, mitigated, remediated, and reported in a timely and effective manner.
• Provide subject matter expert advice on regulatory and compliance risk to Senior Leadership Team and business stakeholders.
• Promote a culture of compliance and good conduct, influencing decision-making at all levels, including Senior Management Function (SMF) holders.
• Deliver technical regulatory advice, ensuring the business operates in a compliant manner and consistently delivers good customer outcomes.
• Support the review and approval of financial promotions, internal/external communications, and other regulatory-related documentation.
• Lead on periodic policy and procedure reviews to ensure ongoing alignment with FCA or client’s requirements.
• Lead horizon scanning for regulatory changes and assess their operational impact on, providing insights and gap analysis to inform business change.
• Implement and improve internal controls and reporting mechanisms to ensure consistent service levels and quality within the advisory team.
• Provide advice and guidance on the Senior Managers & Certification Regime (SM&CR), ensuring regulatory obligations are met and advising on the Management Responsibilities Map.

What Knowledge, Skills & Experience We Need

• A comprehensive working knowledge of FCA principles and relevant standards.
• Solid understanding of FCA requirements in general insurance distribution, particularly ICOBS and PROD sourcebooks.
• Proven experience in a leadership role within compliance, particularly in managing regulatory and conduct risks in financial services.
• Strong ability to manage multiple tasks, prioritise workloads, and deliver projects effectively within tight deadlines.
• Excellent communication skills with the ability to engage and influence a broad range of stakeholders, including senior leaders.
• Strong analytical and problem-solving skills, particularly in interpreting complex data and translating it into actionable insights.
• Demonstrated ability to align business objectives with compliance and conduct frameworks to positively influence business decisions.
• Ability to coach and support colleagues in the application of technical compliance knowledge.

Next steps:

To express your interest in this opportunity, don’t delay; please click Apply now

Location: Hybrid – (2/3 days per week office-based Milton Keynes)

Rate: up to £65,000pa, plus discretionary bonus and suite of flexible benefits