Average Compliance Manager salary in Warwickshire

Compliance Manager - Risk & Compliance Part of LSL Property Services plc, PRIMIS Mortgage Network are the largest Mortgage and Protection Network in the UK with some 1000 firms as business partners and circa 3000 advisors working alongside us. The FS division also includes TMA and Linear Financial Solutions. We are keen to recruit a Compliance Manager (reporting to our Head of Compliance) to join our large and highly experienced Compliance and Risk team supporting LSL’s Financial Services Division. This role presents an exciting opportunity for a highly experienced Compliance professional to contribute to the success of our Financial Services Division The successful candidate will support the management of regulatory risk within the FS Division Risk & Compliance team, to deliver against key risk and regulatory objectives that ensure the Division meets compliance within regulatory and legal requirements. The role will be based partly out of our HQ site on the Birmingham Business Park in Solihull and partly Home Working (hybrid) We estimate no more than 1 - 2 days per week in the office. Main accountabilities: Horizon scanning and regulatory awareness - oversee horizon scanning activities to identify and escalate new and emerging regulatory and legal requirements applicable to the FS Division, ensuring the business remains informed and compliantStakeholder communication - communicate regulatory changes, their implications, and recommended actions clearly and effectively to key business stakeholdersBusiness Partnering and stakeholder support - Partner with business functions to embed compliance into their operations, fostering a culture of accountability and collaboration across the business.Regulatory expertise and interpretation - act as the Subject Matter Expert (SME) on FCA regulatory and legal requirements, providing practical and understandable guidance to ensure compliance and alignment with business objectivesStrategic advice and challenge - provide advice, guidance and constructive challenge on complex regulatory changes, business initiatives and internal projects to drive informed decision-makingRegulatory and committee engagement - Support the Head of and Chief Risk Officer (CRO) in timely and accurate interactions with regulators.Prepare and deliver committee reporting, ensuring accuracy and relevance and represent the 2nd Line at committee meetings when required. Regulatory reporting oversight - manage the completion and submission of all regulatory reporting, ensuring accuracy and compliance with deadlines.SM&CR Governance - oversee the Senior Managers and Certification Regime (SM&CR) application processes, providing expert advice and guidance on associated governance and compliance requirements.Support for Appointed Representatives - oversee and ensure the delivery of exceptional support to appointed representatives via the compliance inbox and inbound calls, contributing to the business’s vision.Hygiene Factors - accountable for the development, implementation and compliance of critical business areas including conflict of interest, anti-bribery and corruption, whistleblowing, and where applicable fraud and AML risk assessments Knowledge & Expertise: Strong and detailed knowledge of the FCA Handbook and the regulatory framework governing mortgage, protection, and insurance market. In particular, the Appointed Representative Regime, Approved Persons, Consumer Duty and SM&CR.A good understanding of other industry rules relevant to the Network model, for example, GDPRExcellent communication skills (verbal and written). Be able to speak as a SME on all regulatory topics to the first line on regulatory mattersAbility to apply professional judgement and experience to interpretation of complex regulation while being conscientious to applicable business models and objectivesStrong analytical and problem-solving skills, with a pragmatic approach to risk and regulatory interpretationBe able to engage with confidence and exert strong influence at all levels of the businessAbility to build strong relationships, overcome objections, negotiate, liaise, and gain agreement at all levels of the business Knowledge and understanding of the risks inherent in a Network business model - desirableHas achieved an industry recognised professional compliance qualification, for example, ICA Diploma in Governance, Risk & Compliance is preferable.5+ years Financial Services experience, ideally in second line rolesExperience of interpretation and providing advice and challenge to first line business stakeholdersAchieved the Certificate in Mortgage Advice and Practice (CeMAP) - as a minimum Salary - £60,000 - £65,000 DOE plus plc linked benefits Based on the Birmingham Business Park in Solihull B37 although we do offer hybrid being a split of remote working / office. Internal LSL group candidates must discuss with their immediate line manager in the first instance. If you are interested in applying for this position, please forward your CV with covering letter in confidence to James Mcnee of the in house recruitment function here at PRIMIS / LSL We are an equal opportunity employer and value diversity at our company. We do not discriminate on your background or needs, if you require any adjustments to make the recruitment process easier, please let us know. LSL are dedicated to protecting your data - our Recruitment Privacy Notice can be viewed on the LSL Careers website

Kind Consultancy is working with a well-established and successful Financial Services organisation which is currently seeking a Director of Risk & Compliance to join them in a full-time, permanent role, predominantly remote with once per month travel to their West Midlands offices. The Director of Risk and Compliance will lead the risk and compliance functions working within a dual-regulated financial services environment, ensuring that the organisation meets all regulatory requirements and cultivates a robust risk culture, with key responsibilities including: Developing, implementing, and continuously enhancing policies, procedures, and frameworks to ensure compliance with all applicable regulations.Monitoring regulatory changes and assessing their impact on the organisation, advising and supporting the business to adjust strategies accordingly.Owning the Compliance Management System and ensure it meets with regulatory requirements, whilst remaining fit for purpose and delivering value for the business.Liaising with regulatory bodies in a collaborative and transparent manner (PRA, FCA, ICO, etc.), ensuring timely and accurate reporting and submissions.Supporting the board, executives and senior management to make informed decisions that consider regulatory and conduct risk.Reviewing, guiding and escalating issues related to new propositions, business operations and identified incidents while taking care to ensure appropriate oversight, controls, and a customer centric approach is taken.Maintaining a horizon scanning programme, including oversight of key regulatory systems and emerging risk landscapes.Developing and maintaining strong relationships with key stakeholders by partnering and challenging risk and compliance control environments.Leading the continuous development and maintenance of our risk management framework that identifies, evaluates, mitigates, and reports on risks in a dual-regulated environment.Improving or establishing key risk indicators and reporting systems to monitor and manage risk exposure against risk appetite.Investigating any breaches of risk appetite, suggesting mitigatory actions, or amendments to the business’ appetite and tolerance.Ensuring that risk management processes are integrated into all aspects of the business’s operations.Managing the day-to-day implementation of the risk software system, ensuring it remains fit for purpose, information remains accurate and up-to-date, and the business uses the system proactively.Fostering and improving a proactive risk culture across the organisation by embedding risk awareness into day-to-day operations and strategic decision-making.Developing long-term strategies to enhance risk management and compliance functions, aligning with the overall business strategy.Overseeing the strategic implementation of the risk management and compliance management systems, ensuring continuous improvement and regulatory compliance.Developing, implementing, and maintaining data privacy policies, procedures, and frameworks to safeguard personal and sensitive information.Ensuring the business’s data handling practices align with regulatory requirements and industry best practices.Ensuring appropriate data retention, deletion, and security measures are in place to protect personal data.Identifying, assessing, and mitigating privacy-related risks, embedding data protection principles across the business.Supporting the completion of data protection impact assessments (DPIAs) for new projects, technologies, and processes that involve personal data. Our ideal candidate for the Director of Risk & Compliance opportunity: Holds one or more risk management qualifications, such as IRM Certificate or Diploma (or equivalent) and one or more compliance qualifications, such as ICA Certificate in Compliance or Diploma (or equivalent) - holding data privacy and information security qualifications would be advantageous, as would a specialist certification in risk management and compliance.Has extensive knowledge of regulatory frameworks, including FCA/PRA requirements, and experience in fulfilling the Senior Management Function 16 (SMF16) role, ensuring effective risk governance and regulatory compliance.Has a comprehensive understanding of the UK financial services regulatory systems, including the FCA handbook, and PRA rulebook, with specific knowledge of SYSC, ICOBS, PRIN, COCON, and Solvency II/Solvency UK - working knowledge of Introducing Appointed Representatives (IAR) compliance would be desirable.Possesses a proven track record in a senior risk management and compliance role, ideally within financial services, or a regulated environment, with oversight of multiple risk categories.Has expertise in managing a function against budget, identifying cost efficiencies, or areas requiring additional expenditure, and expertise in in risk oversight, ensuring robust internal controls, assurance frameworks, and compliance with industry standards such as ISO 31000 (Risk Management) and ISO 27001 (Information Security).Has strong experience in advising and influencing senior executives and boards, providing strategic risk insights and ensuring risk considerations are embedded into decision-making.Has extensive experience of writing and delivering risk and compliance reporting to a Non-Executive, Executive, and Senior Management audience.Is able to assess complex risk scenarios, make informed recommendations, and drive sound decision-making within a dynamic business environment. If you have the necessary skills, knowledge, experience and qualifications and are interested in the Director of Risk & Compliance opportunity, please apply with an updated CV today.

We are actively looking for a Compliance Manager to join a housing association in Evesham, with two days required in the office. You will be responsible for compliance management across the organisation as a whole. In return you will receive hybrid working, 25 days annual leave and an excellent benefits package. Compliance Manager, you will be: - Ensuring that all compliance is up to date and adhere to in accordance to current legislation including gas safety, fire and electrical. - Ensuring high quality day to day performance of all services, providing support, guidance and motivation to maximise performance for everyone in the business - Managing all landlords compliance covering all the big 6 of compliance To be considered for this role you must have, - Experience working with the big 6 of compliance. - Experience of working within the housing sector ideally for a large housing provider. - Experience managing a team.