Supervising a small team you’ll provide practical regulatory advice across the business, oversee key conduct, financial promotions and operational risk matters, and help ensure the bank meets its ongoing PRA and FCA obligations.
THE RESPONSIBILITIES
Act as a key contact point for regulators and law enforcement, coordinating responses and supporting regulatory reporting and action tracking
Monitor regulatory change, assess impact and drive timely implementation
Deliver practical compliance advice on policies, procedures, process changes and conduct risk (including Consumer Duty and TCF)
Lead elements of a risk-based compliance monitoring programme and track remedial actions that support fair customer outcomes
Oversee the financial promotions process (including review and sign-off where delegated) and product risk reviews
Prepare clear, proportionate Compliance MI and report key risks, breaches and control weaknesses to senior management and governance forums
Oversee complaints monitoring, theme analysis and escalation of material conduct issues
Support ongoing compliance with the Senior Managers & Certification Regime and Conduct Rules
Ensure effective mandatory regulatory training arrangements are in place across the bank
THE REQUIREMENTS
Significant compliance experience in a retail financial services environment, including managing activities, prioritising workloads and supporting or leading colleagues
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