Compliance Manager

Our client seeks a Compliance Manager to join their team.

Compliance Manager & DMLRO

Role Profile

A leading and proactive role, responsible for the effective functioning of the Group Compliance Department and working with colleagues across the Group to support and promote compliant practices, behaviours and culture on a continuing basis.

You will hold DMLRO status and controlled function responsibilities and will be required to uphold the requirements and objectives of fitness and propriety as outlined by the Group Policy Framework.

Key Responsibilities

• Proactive leadership of the Compliance Department to build and maintain positive, collaborative relationships across the Group.
• Management and coordination of day‑to‑day activities of the Compliance Department, in line with overarching policy and regulatory objectives.
• Ownership, development, management and maintenance of effective, fit‑for‑purpose compliance frameworks that guide and define organisational practices and behaviours, providing a clear context for business decision‑making.
• Positively influence compliance culture and practices across the Group.
• Development and delivery of an adequate and effective compliance monitoring programme, coordinated with third‑line assurance service provision to maximise business value.
• Working with business colleagues to positively influence good customer outcomes supported by compliance analysis of relevant processes, behaviours and procedures, proposing and supporting effective change where needed.
• Champion the core values of the Group in respect of both performance and behaviour and contribute to continuous improvement.
• Maintain oversight of regulatory submission obligations throughout the financial year, ensuring regulatory obligations, timings and deadlines are fully met.
• Support and contribute to the continued development and implementation of corporate strategies and policies relating to:
  • Risk management and internal control
  • Continuous compliance with obligations and quality assurance of performance
  • Corporate governance and probity
• Provide training, education, consultancy and support services to management and staff as necessary, required or agreed.
• Provide cover to the MLRO and, where necessary, deliver AML training and awareness sessions.

Key Skills and Experience

• Highly competent and appropriately qualified professional with a minimum of 5 years' experience in a senior compliance role and a proven track record in managing staff.
• Substantive knowledge and understanding of sector‑specific legal and regulatory frameworks with the ability to understand, assess and effectively communicate the impact of changes and developments in the local and international environment.
• Good understanding of data protection legislation and the implications of GDPR, with capacity to oversee the design and implementation of adequate and appropriate governance arrangements.
• Good working knowledge and understanding of risk management, internal control and corporate governance principles and practices.
• Demonstrates an understanding of and upholds the principles of ethics and integrity.
• Working knowledge of fraud risk and appropriate means for detection, investigation and prevention.
• A good understanding of the role, scope and objectives of assurance providers in a financial services environment.
• Keen to develop and exploit effective working relationships and advocate the work of the GRC Department to other business areas.
• Effective communicator – both orally and in writing to a wide range of audiences.
• Able to apply tools and techniques relating to research and investigation, process and project management, risk and control, data collection and analysis and problem solving.
• Remains calm under pressure and resilient to the demands of a busy and challenging environment.
• Competent in Microsoft applications: Word, Outlook, PowerPoint, Excel and SharePoint.