Our client, a reputable legal firm, is seeking an experienced Senior Operational Compliance Manager to join their dynamic team at their head office in Thame. This pivotal role involves managing the Customer Solutions Team, overseeing FCA and CeMAP compliance, and collaborating closely with both the Litigation and Ethics & Compliance teams. The ideal candidate will hold a CeMap II and would have previous experience in managing a helpdesk/contact centre.
Key Responsibilities
Lead and supervise the Customer Solutions Team, ensuring efficient daily operations.
Oversee compliance with FCA regulations, including MCOB and Consumer Duty requirements, and ensure adherence to client Service Level Agreements (SLAs).
Conduct regular reviews of internal procedures, policies, and controls in line with the Quality Assurance and Compliance Monitoring Plan and client expectations.
Maintain staff competence in key regulatory areas through structured training, performance reviews, and continuous feedback.
Manage escalations in partnership with the Head of Ethics and Compliance, addressing client SLAs, customer complaints, vulnerable customer cases, and deviations from client mandates.
Provide expert guidance to management and staff on regulatory and compliance matters.
Act as the primary liaison with clients, upholding the firm's reputation for delivering personal, high-quality service.
Collaborate with the IT development team to implement and continuously enhance system processes and controls.
Key Skills & Experience
Proven experience in managing operational teams within FCA-regulated environments.
CeMAP Level 2 qualification (essential).
In-depth understanding of FCA regulatory frameworks, particularly MCOB and Consumer Duty.
Strong leadership and communication skills with the ability to manage teams effectively.
Expertise in handling customer complaints and managing vulnerable customer situations.
Ability to develop and maintain strong client relationships.
Experience working with IT teams to refine compliance systems and controls.
Additional Information
Office Based – 9 AM – 5:30 PM
26 days holidays + Bank Holidays
Perkbox
Participation in charity and social activities
Discretionary annual bonus scheme
Wellbeing Policy & Programme – 1 day off per year to volunteer at a charity of your choice
Private Health Insurance
Pension contributions
To express interest in this promising role, kindly forward your latest CV, detailing your present or most recent remuneration package and any notice period you might have. For a discreet, detailed discussion about the role, you can reach out to Daniel Marlow at (phone number removed). Alternatively, connect with us on LinkedIn via the following link:
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