Senior Operational Compliance Manager
Location: Thame, with offices across Oxfordshire and Buckinghamshire
The Opportunity
An exciting opportunity has arisen for an experienced Senior Operational Compliance Manager to lead a pivotal new function within a well-established legal firm. This role will oversee the Customer Solutions Team and play a critical role in managing a significant new contract with a major retail bank.
This is a leadership role that requires in-depth knowledge of FCA regulations, strategic oversight, and operational management skills to ensure excellence in compliance and service delivery.
Key Responsibilities
1. Team Leadership: Manage and supervise the Customer Solutions Team, ensuring effective daily operations.
2. Regulatory Adherence: Ensure compliance with FCA rules, including MCOB, the Consumer Duty, and client SLAs, maintaining best practices in mortgage servicing.
3. Policy Oversight: Conduct reviews of procedures, policies, and controls to align with the Quality Assurance and Compliance Monitoring Plan, client SLAs, and core values.
4. Staff Development: Maintain staff competence through training, supervision, performance reviews, and regular feedback.
5. Escalation Management: Handle escalations related to complaints, vulnerable customers, and exceptions to client mandates, in collaboration with the Head of Ethics and Compliance.
6. Stakeholder Engagement: Provide guidance to staff and management on compliance matters and liaise directly with clients, stakeholders, and third parties.
7. System Development: Collaborate with IT to implement and update system processes and controls to meet operational needs.
Qualifications & Skills
1. Experience: Extensive experience in senior management roles within FCA-regulated banks or non-bank mortgage lenders.
2. Qualifications: Minimum CeMAP Level 2 qualification is essential.
3. Regulatory Knowledge: Strong understanding of FCA regulations, particularly MCOB, SYSC, and Consumer Duty, along with knowledge of statutory provisions.
4. Mortgage Sector Expertise: Familiarity with the mortgage market, including lending and administration practices.
5. Skills: Excellent leadership, communication, organisational, and strategic abilities, coupled with high levels of integrity.
Why Join?
This firm values its people and fosters a supportive, inclusive culture built on integrity, diversity, excellence, agility, and teamwork.
Benefits Include:
1. Enhanced Leave & Pension: Additional annual leave and a competitive pension scheme.
2. Health & Wellbeing: Private medical insurance, healthcare cash plans, 24/7 GP access, mental health support, and free flu vaccinations.
3. Career Development: Sponsored training for qualifications, structured appraisals, and access to webinars and networking opportunities.
4. Family Support: Enhanced maternity, paternity, and adoption leave, with policies for dependent care and generous discounts on legal services.
5. Community & Engagement: Active social, charity, and wellbeing committees, with firm-organised events, volunteer days, and more.
Inclusivity Statement: The firm is proud to be a Disability Confident employer, promoting diversity and providing equal opportunities for all. Adjustments can be made for interviewees requiring additional support.
Apply Now: If you believe this role is the perfect fit for your skills and experience, or if you’d like to learn more, please contact Lauren Eager at lauren.eager@QEDLegal.com.
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