Broadgate
Senior Compliance Oversight Manager
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Senior Compliance Manager
As the Senior Compliance Manager, you will be responsible to ensure regulatory requirements are met, deliver good customer outcomes, and maintain robust governance frameworks in accordance with Financial Conduct Authority (FCA) expectations, including Consumer Duty.
Some Key Responsibilities
- Provide ongoing oversight and constructive challenge to ensure regulatory standards are maintained
- Build strong, credible relationships with senior management, advisers, and operational teams
- Provide proactive, forward-looking compliance support to identify emerging risks and support early intervention
- Provide guidance on complex regulatory matters relating to mortgage and protection advice
- Identify, assess, and manage regulatory and conduct risks within the business
- Oversee monitoring activity, including file reviews, call assessments, thematic reviews, and audit outputs
- Provide clear, risk-based reporting to senior stakeholders, committees, and the Board where required
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- Strong knowledge of UK financial services
- Strong knowledge of FCA regulation including MCOB, ICOBS and Consumer Duty
- Deep understanding of mortgage and protection advice processes
- Strong communication and stakeholder management skills.
- Experience in managing people effectively
- CeMAP Qualified
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