Birchlake Recruitment
Senior Compliance Manager
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Birchlake Recruitment Partnership
Birchlake Recruitment is delighted to be partnering with a brand new retail financial services client in the search for a Senior Compliance Manager to join their UK Compliance team based in Berkshire.
This is an excellent opportunity for an experienced compliance professional with a strong background in financial services regulation who is passionate about embedding robust compliance frameworks, supporting regulatory change, and driving positive customer outcomes across a complex regulated business.
The Role
Reporting to the Head of Compliance & MLRO, you'll play a key leadership role in maintaining and developing the Compliance Framework across the organisation's UK entities.
You'll provide day-to-day leadership to the Compliance team, oversee second-line compliance monitoring activities, support intermediary oversight, and ensure new regulatory requirements are effectively implemented. Acting as deputy to the Head of Compliance where required, you'll work closely with senior stakeholders across the business while balancing strategic oversight with hands-on operational delivery.
This hybrid role also includes regular UK travel to support Regional Compliance Managers, undertake compliance reviews, engage with retailers and business stakeholders, and represent the Compliance function across the organisation.
Key Responsibilities:
- Support the Head of Compliance & MLRO in maintaining and enhancing the Compliance Framework across all UK entities
- Deputise for the Head of Compliance where required
- Lead, coach and develop Regional Compliance Managers and the wider Compliance team
- Oversee departmental workload, ensuring compliance activities are delivered to a high standard and within agreed timescales
- Develop and deliver the annual Compliance Monitoring Plan
- Oversee second-line compliance monitoring across all business areas
- Conduct thematic reviews and targeted compliance assessments where regulatory risks are identified
- Monitor remediation activity and provide reporting to senior management
- Manage and continuously improve the Intermediary Oversight Framework using a risk-based approach
- Oversee retailer, broker and appointed representative compliance audits
- Review audit findings, recommendations and remediation plans to ensure consistency and quality
- Support regulatory change programmes and compliance workstreams across business projects
- Assist with FCA reviews, regulatory requests and implementation of regulatory action plans
- Prepare reporting for Compliance Committees, Executive Committees and Boards
- Build strong relationships with Sales, Operations, Risk, Legal, Internal Audit and wider business stakeholders
- Promote a positive compliance culture through advice, training and ongoing stakeholder engagement
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About You
You'll ideally have experience in one or more of the following:
- Compliance Management
- FCA Regulatory Compliance
- Consumer Duty
- Compliance Monitoring
- Intermediary Oversight
- Regulatory Change
- Conduct Risk
- Financial Services Compliance
- Governance & Regulatory Reporting
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You'll also possess:
- Significant experience within a Compliance, Risk or Internal Audit function in Financial Services
- Strong working knowledge of FCA regulation, Consumer Duty and the UK regulatory framework
- Experience leading second-line compliance monitoring programmes
- Experience overseeing intermediary or third-party compliance arrangements
- Proven leadership experience with the ability to coach, develop and motivate teams
- Excellent stakeholder management skills with the confidence to influence at all levels of the business
- Strong analytical and problem-solving abilities with excellent attention to detail
- Outstanding written and verbal communication skills, including experience preparing reports for senior management and governance committees
- Excellent organisational skills with the ability to manage multiple priorities in a fast-paced regulatory environment
- A proactive and collaborative approach with the ability to balance strategic thinking and operational delivery
- Willingness to travel regularly throughout the UK
- A full UK Driving Licence
What's on Offer
Benefits include:
- 25 days pro rata annual leave (rising with LOS up to 30 days)
- Bupa
- Simply Health
- Company car scheme
- Discretionary car allowance
- Discretionary bonus
Apply today or contact Birchlake Recruitment for a confidential discussion.
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