Policy & Compliance Support Manager

Policy & Compliance Support Manager

February 2022
Lead the Policy & Technical and Compliance Support Unit teams to provide a high quality and standards driven service to Bankhall customers.

Deliver directly authorised regulatory policy, support and service propositions to enable delivery of a first class and proactive service to clients.

Effectively support and manage direct reports on a day-to-day basis and ensure regulatory information and guidance is communicated effectively to key internal and external stakeholders.

Risk:

• Awareness of operational and regulatory risk, which may impact on SBG. Responsible for reporting to their line manager any risk which may impact on the business.

Treating Customers Fairly and Retail Conduct Risk:

• Ensure that TCF/RCR principles are embedded into the team’s culture, departmental procedures and practices and that management controls and MI are in place to monitor these.

Three Lines of Defence:

• To deliver your role competently and comply with the relevant standards and procedures, ensuring that SBG deliver a service where suitable advice is given to the end consumer, which is adequately recorded and ultimately promotes that customers are treated fairly. This can either be through direct influence or in a support services capacity.

Information Security:

• Promote information security in your department, encouraging best practice by ensuring your staff comply with the information security principles, policies and procedures. Monitor workplace practice in line with these policies and procedures and deal firmly with any instances of non-compliance.

Service Delivery:

• Get the basics right through embedding the service charters into to the team culture. Encourage and exhibiting the behaviours that fit within the SBG service charters, leading the team to ensure a clear vision of what service delivery excellence means for the team ensuring that service is at the forefront of decision-making processes.

People Management:

• Set clear personal objectives that are SMART and challenging, review objectives and provide feedback regularly in one to ones and formally through the Performance Evaluation Process (appraisal), within the set timescales.

• Manage performance across the team to ensure the achievement of service delivery outcomes.

• Manage any sensitive issues in line with SBG Policies and procedures, including attendance and performance issues.

• Coach and develop team to ensure they perform at a high level, strive for excellence and maintain appropriate knowledge of the Group’s propositions in line with the SBG values and competency framework.

• Addressing any training and development needs, ensuring direct reports have a personal development plan.

• Motivate and reward team to encourage behaviours within the department, which supports the values of SBG.

• Committed to group corporate citizenship in line with SBG’s CSR policy. Promote and advocate social interaction and encourage support within own department for nominated charities and corporate activities within the community.


Competency

Level
Interacting & Engaging

B

Technical Competence

B

Organising & Executing

B

Managing & Developing Self & Others

B

Service Delivery Excellence

B

Entrepreneurial & Commercial Thinking

B

Embracing Change

B

Leadership

B

Collaborative Working

B



Qualifications required:

  • Diploma in Financial Planning (or equivalent).

Experience required:

  • Strong relevant financial services industry experience
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Full time
TBC
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Closing Date: TBC

Essential Skills Required

• Develop and maintain an effective and standards driven compliance support service.
• Report key trends/compliance issues to the Head of Department to assist with service development and delivery.
• Manage team workflows to ensure minimum business standards and timescales are maintained. Assist with the production of management information on team performance.
• Effectively liaise with other relevant internal stakeholders to share information/ experience and to help ensure that the teams are fully informed of both internal service developments and external regulatory developments.
• Proactively assist with the development of Bankhall’s compliance services by feeding into key compliance work/initiatives designed to enhance the quality of the service delivered by Bankhall.
• Identify training/development needs of staff within the team and implement effective programmes to meet those needs.
• Accountability for monitoring the output of the FCA/other relevant regulatory organisations to assess the impact of relevant publications on Bankhall and its clients and communicate in a timely manner.
• Facilitate the creation of timely and relevant written compliance information and guidance for distribution to internal staff and Bankhall clients.
• Ensure that the business is informed of key regulatory policy updates through the production of regulatory articles, training and presentations for delivery within the business and/or in external communications.
• Representing Bankhall professionally at Bankhall and Industry events.
• Keep up to date with technical and product developments within the industry and highlight relevant information to other members of the team and the compliance policy team.
• Implement and manage an oversight plan to ensure that regulatory activities are benchmarked and monitored to meet with consistency and quality purposes at a level suitable for independent audit.
• Support the team in the of project/outsourced work including presentations and training and to ensure that agreed deliverables are provided in an appropriate and timely manner.
• To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives.

Critical Knowledge Required

• Excellent written and verbal communication skills.
• Ability to plan own and team workload and manage conflicting demands and deadlines.
• Attention to detail
• Proactively develop and maintain relevant technical knowledge (regulatory and industry issues)
• Technical knowledge and understanding of relevant legislation/regulation.
• Sound knowledge of the regulatory environment as it applies to financial advisers
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