Senior Compliance Manager – Regulatory Risk

🔥 39 minutes ago

🇬🇧 United Kingdom – Remote

⏰ Full Time

🟠 Senior

🚔 Compliance

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Shawbrook

WebsiteLinkedInAll Job Openings

501 - 1000 employees

Founded 2011

🏦 Banking

💸 Finance

💰 Private Equity Round on 2011-01

Banking • Finance

Shawbrook is a UK-based bank known for its award-winning lending and savings products, serving over 560,000 customers. It offers a variety of financial services such as savings accounts, personal loans, and specialist finance for businesses, property developers, and professional property investors. Shawbrook is highly rated by customers and provides FSCS protection for its savings range. As a purpose-led organization, it focuses on sustainability and long-term value creation. Additionally, it partners with Saracens Rugby Club to support women's sports.

📋 Description

• Provide independent second-line oversight of Regulatory Compliance Risk across the Group • Support the Director of Compliance & Conduct with Compliance and Conduct Risk responsibilities • Manage the Group’s regulatory horizon-scanning process • Identify, communicate and assign relevant regulatory developments to business owners • Oversee and challenge first-line impact assessments and implementation of regulatory-driven change • Own and maintain the Regulatory Compliance Risk Framework, relevant policies and supporting standards • Oversee adherence to requirements and provide second-line challenge on gaps, exceptions and inconsistencies • Oversee Conduct Risk identification, assessment, monitoring, controls and remediation • Aggregate and challenge material risks, issues and control weaknesses • Identify cross-business themes and escalate inadequately managed risks • Provide Conduct Risk and Regulatory Compliance reporting to governance forums • Analyse conduct events, complaints, customer outcomes and other data to identify risks, trends, root causes and systemic issues • Provide pragmatic regulatory advice and guidance to the business • Oversee regulatory awareness activity and management of regulatory permissions • Analyse regulatory issues and themes to support root-cause identification and Group change programmes • Drive proportionate improvements to business practices and the control environment • Foster an effective Compliance and Conduct culture across the Group

🎯 Requirements

• Strong understanding of the financial services regulatory environment, including applicable FCA requirements, regulatory change processes, permissions and Regulatory Compliance Risk • Good understanding of risk management frameworks and embedding regulatory obligations into business processes, controls and decision-making • Strong analytical and judgement skills • Ability to interpret regulatory developments, assess materiality and translate requirements into clear, proportionate expectations • Ability to manage multiple complex priorities • Ability to constructively challenge business decisions and practices • Ability to hold first-line stakeholders accountable for regulatory obligations and agreed actions • Highly credible and influential relationship-management skills across all levels of seniority • Integrity, independence and sound judgement • Commitment to openness, transparency and constructive challenge • Relevant professional compliance qualification such as ICA Diploma, ICA Advanced Certificate or equivalent is desirable but not essential • Substantial experience in regulatory compliance within UK financial services • Strong understanding of FCA requirements, regulatory risk management and second-line oversight

🏖️ Benefits

• Market leading family friendly policies, including access to Maternity, Adoption and Paternity policies from Day 1 of employment • Free access to Headspace mindfulness and meditation digital health app • Free access to Peppy digital health app • Employee Assistance Programme (EAP) • Cycle to work scheme • Discounts on gym membership • Contributory pension scheme • Death in service benefit • Minimum of 27 days holiday per year • Option to buy or sell holiday days through flexi-holiday scheme • Discounts on gym membership nationwide • Discounts on high street and online brands • Community support and charitable giving • Participation in annual discretionary bonus scheme • Proudly Shawbrook recognition scheme

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