About the job

Northreach is a dynamic recruitment agency that connects businesses with top talent in financial services, lending, and digital sectors. We specialise in providing a seamless recruitment experience for clients and candidates, fostering innovation and professional growth.

We are partnering with a financial services business who have a requirement for a regulatory compliance manager to join their team.

This role is 2LOD advisory and sits within the Risk and compliance function.

Responsibilities:

• Leading day to day management of the compliance plan. Quality Assurance Methodology and Framework – completing reviews, oversight, assessing controls, providing feedback and support.
• Support the design, delivery and continuous improvement of the annual Compliance Monitoring Plan.
• Provide regulatory advisory support in articulating regulatory matters and providing business support and advice (e.g. new products, reviews, regulatory change impacts).
• Manage, support and escalate regulatory breaches.
• Maintain and update the compliance risk registers and associated controls.
• Provide technical and operational support to the first line Ops.
• Provide Compliance Training to all new employees and refresher training to existing colleagues.
• Provide support with risk events e.g. incident management or breaches.
• Manage and oversee data protection requests, in particular; DSARs and deletion requests and supporting the DPO with any enquiries.
• Prepare and provide accurate, timely management information (MI) and reports to the required forums and committees, analysing trends, identifying emerging risks and determining the effectiveness of internal associated controls.
• Support the Horizon Scanning process, ensuring that regulatory changes are recorded, assessed and reported in a timely manner.
• Support with the annual review of associated Policies and Procedures aligned to Compliance matters.