Compliance Advisory AVP

  • Competitve
  • Northampton, England, United Kingdom
  • Permanent, Full time
  • Grovelands Resourcing Limited
  • 16 Sep 16

Advisory based Compliance opportunity with a leading card provider in the Midlands

  • The roleholder will be responsible for enhancing the compliance culture within the organisation by developing and managing effective relationships with key business areas/stakeholders at all levels
  • The roleholder will work within a collaborative team of compliance professionals based across two sites in Northampton and London, building trusted relationships quickly. The roleholder will work with Senior Compliance Managers, Compliance Directors and the Head of Compliance to deliver the Compliance strategic plan.
  • The roleholder will be responsible for a wide variety of work including:
  • Review and approval of financial materials and other communications
  • Providing expert advice on FCA regulation relating to product development, BAU activities and incidents. This includes advising on CONC, ICOBS, DISP, SYSC, PRIN etc.
  • Review of MI and other evidence to provide second line of defence assurance of the compliance of the Barclaycard business
  • Keeping appropriate records and logs in relation to compliance activities
  • Reading FCA publications and other industry materials to keep up to date with regulatory change
  • The roleholder will provide expert advice on the FCA handbook including CONC, DISP, SYSC, PRIN and Lending Code. The roleholder will undertake second line of defence assurance activities including oversight of internal policy compliance.


Professional/technical experience

  • The successful candidate will have a developed understanding of the UK financial services regulatory framework including:
  • Previous experience working in a compliance role or first line of defence governance role in a major financial services firm, regulator or professional services firm
  • Knowledge of consumer credit markets and businesses and current regulatory issues affecting those businesses. A high-level understanding of all product areas of the consumer credit business (for example, credit cards and loans) with which the role holder will be engaging with on a daily basis
  • Experience of second line of defence assurance of regulatory compliance processes, practices, risks and customer outcomes in a financial services institution
  • Knowledge of compliance best practice and, ideally, a background in developing a leading edge compliance function
  • Proven stakeholder management and communication skills in a high performance culture
  • Proven team work experience
  • Academic and professional qualifications
  • The successful candidate will be intellectually first rate with sound judgement and good strategic abilities, ideally educated to at least degree level.

Personal attributes

The successful candidate will:

  • Have excellent interpersonal skills as well as a tough and resilient personality. A confident, mature individual able to communicate with clarity and purpose both in written and verbal formats
  • Be able to identify emerging risks and issues within and across business units; engage with the business unit compliance teams to follow-up and challenge their activity and progress on these issues/projects where necessary
  • Be curious and willing to learn and upskill to be able to advise on the new Consumer Credit (CONC) handbook rules and other regulatory changes