Senior Compliance Manager

Salary Not Specified

Addleshaw Goddard, City of Westminster

Full time
Permanent
Onsite working

Posted 2 weeks ago, 17 Oct | Get your application in now before you miss out!

Closing date: Closing date not specified

job Ref: 6abf56645798406e8237b4fd8f6686e2

Addleshaw Goddard

Full Job Description

We're looking for a Senior Compliance Manager to join our high performing and busy financial services regulatory compliance team. You will have the opportunity to work alongside our experienced compliance and legal professionals, gaining exposure to a wide range of financial services regulatory compliance and financial crime matters and contributing to the success of our clients.
We are looking for someone with not only solid regulatory compliance experience (appropriate to their level of experience), but also experience with any or a combination of the following: authorisations and applications to the regulators, regulatory advisory support to clients on all aspects of the FCA and PRA handbooks, regulatory compliance support on corporate transactions, SMCR governance, covering all aspects of systems and controls advice., Financial services is a common thread running through the majority of Addleshaw Goddard practice areas. Our Financial Regulation team is independently recognised as first rate and having "client focus and a pragmatic approach in complicated situations".
The compliance team consists of experienced career compliance consultants with experience spanning both industry, Big 4 consultancies and are former regulators. The team advise on a broad range of issues ranging from authorisations of new entrants and mobilisation, through to supporting the restructuring and ring fence activities of a Tier 1 bank, noted for their technical rigour and practical support, our compliance team collaborate seamlessly with our lawyers to provide a comprehensive and unified advisory solution to clients.
The team is part of the overall financial regulation team at AG which is well known for its market leading consumer finance practice and the successful candidate would be expected to support across credit, mortgages and payment sectors supporting the main partners with these clients. The regulatory compliance team was established over ten years ago and has grown in scale and stature and is recognised by clients for the depth of experience and expertise that we bring to our advice and for the practical nature of that advice.
The team comprises both compliance consultants and lawyers and is fully integrated working together on client matters.
Immediate responsibilities will include support of clients undertaking authorisation applications to FCA/PRA, drafting of regulatory business plans and policies in support of such applications and overall guidance to many new to market entrants to whom these regulatory requirements are very unfamiliar.
You will be expected to operate within a highly technical area, supporting all advice by relevant regulatory references, all drafting to be comparable with the standard of advice that we provide as a law firm and with the same technical accuracy.
The role requires the ability to deliver quality work to multiple clients within tight timescales. An ability to manage and juggle workload is essential.
You will need to be operating at a senior level in your current role, within an authorised firm or compliance consultancy, able to demonstrate detailed technical understanding of both the relevant rules books and client application. An awareness of regulatory change and any upcoming regulatory deadlines would be beneficial to enable the candidate to support the business development and growth plans of the team., Providing advisory compliance support to key clients such as all of the Tier One banks, challenger banks, building societies, credit reference agencies, payment firms, mortgage administrators and asset finance firms a high street retailers, as well as supporting new entrants and smaller clients across all areas of financial services;
You will deliver advisory support on permissions, governance, conduct rules as well as carrying out regulatory due diligence in support of corporate transactions;
Provide PRA and FCA authorisation and application support across a range of firms; and
Participate in developing client relationships, marketing, knowledge sharing and practice development.
Using a wide variety of technical, compliance and sector-specific skills, you will engage on projects for clients in areas such as:
Governance, SMCR, consumer duty, compliance system assurance reviews
Technical advice across the spectrum of the Handbook
Implementation of compliance and risk management frameworks
Review and recommendation of compliance and risk management systems and controls Technical support on regulatory change for example, consumer duty, appointed representatives, new requirements on product sales data
Support of clients subject to close regulatory supervision
Delivery of specific training and preparing clients for regulatory visits
Advising on reporting requirements and regulatory returns
Maintenance of sector knowledge to support ongoing client training and publications
Managing regulatory enquiries and skilled person/shadow skilled person reviews
Supporting implementation and mobilisation as clients enter regulated activities or set up new business areas
Have a detailed understanding of the authorisation and supervision process of the FCA and PRA
Previous experience of working in a law firm is advantageous
Consumer credit assurance reviews
Technical advice across the spectrum of the Handbook
Review and recommendation of governance structures and board risk frameworks
Technical support on regulatory change for example Consumer Duty
Support of clients undergoing FCA investigations
Delivery of specific training and preparing clients for regulatory visits
Detailed technical documentation for reporting requirements and regulatory returns
Maintenance of sector knowledge to support ongoing client training and publications
Managing regulatory enquiries, skilled person reviews and enforcement action
Supporting implementation and mobilisation as clients enter regulated activities or set up new business areas
Have a detailed understanding of the authorisation and supervision process of the FCA and PRA

Addleshaw Goddard is a place where you are valued, encouraged, and challenged to fulfil your potential in a supportive and collegiate environment. Our culture of improvement, growth and collaboration delivers results, drives innovation, and rewards ambition.

Senior Compliance Manager

Full Job Description

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