Compliance Manager

Overview

The Compliance Manager role involves overseeing regulatory engagement activities and providing strategic input on new regulatory and policy trends. Positioned within the second line of defence, this role requires close monitoring and analysis of regulatory changes and coordinating communications with regulators and industry groups.

Key Responsibilities

• Lead and coordinate all engagement efforts with regulatory authorities.
• Establish and nurture strong, strategic relationships with key regulatory stakeholders to advance organizational goals.
• Assist senior leadership with external regulatory meetings and prepare relevant briefing documents.
• Ensure adherence to the Regulatory Engagement Policy across the organization.
• Guide or manage responses to Financial Conduct Authority consultations, discussion papers, and evidence requests.
• Collaborate with business teams to define the organization's positions on important regulatory and policy changes.
• Work alongside business leaders to detect new regulatory risks and opportunities.
• Serve as an expert resource on regulatory evolutions and their strategic impact.

Required Experience and Competencies

• Prior experience handling regulatory engagements in a UK financial services environment.
• Demonstrated success in forging and sustaining robust relationships with regulators, policymakers, and industry partners.
• Proven background representing organizations at external forums and shaping policy discussions through proactive stakeholder engagement.
• Strong understanding of relevant regulatory issues affecting investment, wealth management, or wider financial services sectors.
• Competence in analyzing complex regulatory and policy information.
• Outstanding stakeholder management abilities with proven influence across organizational hierarchy.
• Effective communication skills with confidence to constructively challenge and persuade key stakeholders.