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Senior Conduct & Compliance Risk Manager - City, Birmingham, United Kingdom, B1


A Senior Conduct and Compliance Risk Manager is required by a growing financial services provider to champion conduct risk and good customer outcomes and lead the 1st line risk owners in embedding appropriate conduct and compliance risk management practices across their area. This is not merely a monitoring or assurance role - it is a strategic position that reports directly into the CRO and that will shape conduct and compliance risk methodologies across the business whilst increasing the visibility of conduct risk in particular.

Your main responsibilities will include

  • Owning and leading the Conduct, Legislative and Regulatory Compliance Risk Management Framework.
  • Providing assurance through a risk-based programme of compliance monitoring
  • Ownership and coordination of conduct risk management activities including Chair of Conduct Risk & Compliance committee.
  • Oversee and monitor horizon scanning activities, ensuring that all conduct and compliance legislative and regulatory changes are identified, with appropriate actions implemented in a timely manner
  • Providing leadership, advice, guidance and support for business changes and strategic initiatives
  • Looking forwards and outwards to assess emerging conduct, legislative and regulatory compliance risks and provide the business with regular updates.
  • Fulfil the role of data protection officer.
  • Ownership of the training programme in respect of Compliance and Conduct Risk related issues.
  • Ownership of conduct and compliance risk policies and make recommendations for required changes to ensure that the policies are aligned to the business strategy and economic environment.

You will be an experienced compliance professional with a proven track record of embedding a conduct risk framework within a financial services business. We are particularly interested in candidates with experience of commercial banking, private banking, asset finance, invoice finance and other specialist lending. You will also ideally hold a relevant risk or compliance qualification. In addition, you will possess excellent leadership and influencing skills and be a confident, articulate communicator (both verbally and in writing).