Overview
Hays is working exclusively to recruit a Compliance Manager for a high-profile organisation operating within the UK financial services sector.
This is a senior and highly visible opportunity within the Risk & Compliance function, responsible for giving senior management confidence that the organisation is operating compliantly across its core activities and corporate functions. Reporting to the Head of Risk & Compliance, you will lead the organisation's second-line compliance activity and ensure its approach remains proportionate, effective and aligned with relevant regulatory and legal obligations.
You will lead the Compliance Team, maintain and enhance the organisation's Compliance Framework, and develop strategically relevant compliance reporting and management information for Executive and Board-level audiences. You will also act as a senior compliance adviser across the organisation and may deputise for the Head of Risk & Compliance on key matters.
The remit is broad, covering areas including Financial Crime, Conduct, Data Protection, the FCA Handbook, PRA Rulebook and applicable corporate law. You will horizon scan for regulatory developments, identify emerging risks and trends, provide insight into the root causes of compliance issues and work with stakeholders to develop proportionate solutions.
The successful candidate will bring strong technical knowledge of compliance frameworks alongside proven leadership and stakeholder management capability. You will be comfortable influencing at Executive level, delivering challenging messages constructively and translating complex compliance information and data into clear insight for senior decision-makers.
Key Responsibilities
- Lead the Compliance Team and deliver the organisation's second-line compliance responsibilities.
- Manage, maintain and continuously improve the Compliance Framework, drawing on regulatory developments, insight and industry best practice.
- Provide assurance over compliance with internal policies, regulatory requirements and applicable corporate legislation, including Financial Crime, Conduct and Data Protection requirements.
- Horizon scan the regulatory environment and assess developments that could affect the organisation.
- Define and deliver high-quality compliance reporting and management information for senior management, the Executive, Board and relevant Committees.
- Use data analysis and insight to identify trends, inform compliance reviews and drive improvements.
- Provide expert compliance input into root cause analysis and develop practical solutions to minimise future non-compliance.
- Build effective relationships across all levels of the organisation while remaining comfortable providing constructive challenge and difficult messages.
- Identify and communicate emerging themes and risks across the wider Risk & Compliance function so preventative action can be taken.
- Develop and maintain effective relationships across the Three Lines of Defence.
- Represent the organisation in meetings with relevant external authorities, partners and industry stakeholders.
- Engage with third parties to understand emerging challenges, regulatory developments and future compliance risks.
- Support the management of incidents through the organisation's incident and crisis management framework.
Skills & Experience Required: Essential
- Detailed knowledge and practical experience of developing, implementing and operating compliance frameworks.
- Strong understanding of the UK financial services sector and its regulatory environment.
- Strong knowledge of compliance, risk identification and second-line assurance principles.
- Experience leading and developing compliance activity within a complex or regulated organisation.
- Strong analytical capability with the ability to interpret data, identify trends and turn complex information into meaningful insight.
- Experience developing compliance reporting and management information for senior leadership and governance audiences.
- Strong stakeholder management skills with experience building relationships across the Three Lines of Defence.
- Confidence engaging with Executive-level stakeholders while constructively delivering difficult or challenging messages.
- Management experience and evidence of successfully driving performance and change.
- Excellent written, verbal, presentation and report-writing skills.
Person Specification
You will be an experienced and credible compliance leader with a strong understanding of second-line assurance and the UK financial services regulatory environment.
You will be comfortable operating at both strategic and operational levels, moving between detailed compliance issues, regulatory developments and the wider organisational picture. You will have the judgement to determine what proportionate compliance looks like while maintaining appropriate independence and challenge. Strong communication and stakeholder management will be essential. You will need to establish credibility with senior leaders, communicate complex compliance matters clearly and be prepared to deliver challenging messages when necessary.
Please note: Applicants must have the right to work in the UK. Visa sponsorship is not available for this position.