Senior Technical Compliance Manager

Senior Technical Compliance Manager

April 2021
Sesame Bankhall Group (SBG) are looking to recruit a Senior Technical Compliance Manager to manage the compliance support provided to firms and clients. Working within the financial services sector this role will provide technical compliance advice and support to the business on designated investment, mortgage and protection advice matters. The role will be integral in leading key change projects and initiatives and ensuring the development and maintenance of a high-level compliance policy framework.


Key responsibilities include:

  • Assist the group with any complex technical and compliance queries in the areas of designated investments, mortgages, protection and wider FCA regulatory matters, ensuring the group is suitably equipped to carry out its compliance services for firms and clients.
  • Act as Lead on change projects and as a ‘business consultant’ on all regulatory matters, as applied to designated investment, mortgage & protection services.
  • Ensure that compliance policy is accurate, clear and up to date.
  • Ensure that regulatory services, both new and existing, are fit for purpose and enable the group to successfully compete with competitors in the areas of designated investments, mortgages and pure protection (particularly new services following changes in regulation or relevant legislation).
  • When required, work closely with firms (all brands) to deliver compliance policy and technical guidance.
  • Interact with the FCA and other regulatory organisations in a timely and professional manner and ensure any FCA responses are provided to an accurate and high standard.
  • Undertake the gathering of information and drafting of submissions for regulatory reporting, ensuring that it is accurate and timely.
  • Maintain up to date knowledge of FCA Rules and other relevant regulatory developments.
  • To manage Compliance Technical Manager/s
  • Ensure that the needs of the business with regard to regulatory developments are met.

Benefits

  • Flexible working
  • Employee discount schemes
  • 4 x life assurance
  • Company contributory pension scheme
  • Generous holiday entitlement
  • Private Medical Insurance

SBG are committed to Treating Customers Fairly. As part of your role, it will be your responsibility to work within the principles of TCF which would be specific to your role and department.


SBG are an equal opportunity employer, committed to ensuring representation of people from all backgrounds regardless of their gender identity or expression, sexual orientation, race, religion, ethnicity, age, neurodiversity, disability status, or any other aspect which makes them unique. Applications are encouraged from all candidates and we would encourage you to let us know if there are steps we can take to ensure that your recruitment process enables you to present yourself in a way that makes you comfortable.


If you think that you are suitable for this role, please apply now!

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Permanent, Full time.
£60,000 - £65,000, plus benefits
Home based, with ability to travel
Closing Date: Open

Essential Skills Required

Diploma in Financial Planning (or equivalent)
Significant experience in dealing with compliance technical matters relating to designated investment advice within a UK financial Services company
People management experience
Detailed ability to interpret regulatory requirements and produce summaries, action plans and services to support the operating model of SBG
An operational understanding of Firewalls, system logs and user account management so that you can provide oversight of the IT department process changes
Ability to plan own workload and manage conflicting demands and deadlines.
Attention to detail
Proactively develop and maintain relevant technical knowledge (regulatory and industry issues)
Ability to set objectives and manage the performance of staff.

Critical Knowledge Required

Sesame
Bankhall
PMS
Sesame Bankhall Valuation Services
Your Learning Hub
The People Department

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