Average Compliance Manager salary in Birmingham

Compliance Manager - Risk & Compliance Part of LSL Property Services plc, PRIMIS Mortgage Network are the largest Mortgage and Protection Network in the UK with some 1000 firms as business partners and circa 3000 advisors working alongside us. The FS division also includes TMA and Linear Financial Solutions. We are keen to recruit a Compliance Manager (reporting to our Head of Compliance) to join our large and highly experienced Compliance and Risk team supporting LSL’s Financial Services Division. This role presents an exciting opportunity for a highly experienced Compliance professional to contribute to the success of our Financial Services Division The successful candidate will support the management of regulatory risk within the FS Division Risk & Compliance team, to deliver against key risk and regulatory objectives that ensure the Division meets compliance within regulatory and legal requirements. The role will be based partly out of our HQ site on the Birmingham Business Park in Solihull and partly Home Working (hybrid) We estimate no more than 1 - 2 days per week in the office. Main accountabilities: Horizon scanning and regulatory awareness - oversee horizon scanning activities to identify and escalate new and emerging regulatory and legal requirements applicable to the FS Division, ensuring the business remains informed and compliantStakeholder communication - communicate regulatory changes, their implications, and recommended actions clearly and effectively to key business stakeholdersBusiness Partnering and stakeholder support - Partner with business functions to embed compliance into their operations, fostering a culture of accountability and collaboration across the business.Regulatory expertise and interpretation - act as the Subject Matter Expert (SME) on FCA regulatory and legal requirements, providing practical and understandable guidance to ensure compliance and alignment with business objectivesStrategic advice and challenge - provide advice, guidance and constructive challenge on complex regulatory changes, business initiatives and internal projects to drive informed decision-makingRegulatory and committee engagement - Support the Head of and Chief Risk Officer (CRO) in timely and accurate interactions with regulators.Prepare and deliver committee reporting, ensuring accuracy and relevance and represent the 2nd Line at committee meetings when required. Regulatory reporting oversight - manage the completion and submission of all regulatory reporting, ensuring accuracy and compliance with deadlines.SM&CR Governance - oversee the Senior Managers and Certification Regime (SM&CR) application processes, providing expert advice and guidance on associated governance and compliance requirements.Support for Appointed Representatives - oversee and ensure the delivery of exceptional support to appointed representatives via the compliance inbox and inbound calls, contributing to the business’s vision.Hygiene Factors - accountable for the development, implementation and compliance of critical business areas including conflict of interest, anti-bribery and corruption, whistleblowing, and where applicable fraud and AML risk assessments Knowledge & Expertise: Strong and detailed knowledge of the FCA Handbook and the regulatory framework governing mortgage, protection, and insurance market. In particular, the Appointed Representative Regime, Approved Persons, Consumer Duty and SM&CR.A good understanding of other industry rules relevant to the Network model, for example, GDPRExcellent communication skills (verbal and written). Be able to speak as a SME on all regulatory topics to the first line on regulatory mattersAbility to apply professional judgement and experience to interpretation of complex regulation while being conscientious to applicable business models and objectivesStrong analytical and problem-solving skills, with a pragmatic approach to risk and regulatory interpretationBe able to engage with confidence and exert strong influence at all levels of the businessAbility to build strong relationships, overcome objections, negotiate, liaise, and gain agreement at all levels of the business Knowledge and understanding of the risks inherent in a Network business model - desirableHas achieved an industry recognised professional compliance qualification, for example, ICA Diploma in Governance, Risk & Compliance is preferable.5+ years Financial Services experience, ideally in second line rolesExperience of interpretation and providing advice and challenge to first line business stakeholdersAchieved the Certificate in Mortgage Advice and Practice (CeMAP) - as a minimum Salary - £60,000 - £65,000 DOE plus plc linked benefits Based on the Birmingham Business Park in Solihull B37 although we do offer hybrid being a split of remote working / office. Internal LSL group candidates must discuss with their immediate line manager in the first instance. If you are interested in applying for this position, please forward your CV with covering letter in confidence to James Mcnee of the in house recruitment function here at PRIMIS / LSL We are an equal opportunity employer and value diversity at our company. We do not discriminate on your background or needs, if you require any adjustments to make the recruitment process easier, please let us know. LSL are dedicated to protecting your data - our Recruitment Privacy Notice can be viewed on the LSL Careers website

Senior Compliance Monitoring Officer - Risk & Compliance - Hybrid Part of LSL Property Services plc, PRIMIS Mortgage Network are the largest Mortgage and Protection Network in the UK with some 1000 firms as business partners and circa 3000 advisors working alongside us. The FS division also includes TMA and Linear Financial Solutions. We are keen to recruit a Senior Compliance Monitoring Officer (reporting to our Head of Compliance) to join our large and highly experienced Compliance and Risk team supporting LSL’s Financial Services Division. This role presents an exciting opportunity for an experienced 2nd line Compliance Monitoring and Testing professional to contribute to the success of our Financial Services Division by undertaking and completing compliance monitoring reviews including thematic and desk-based periodic reviews of the Networks systems and controls and provide assurance to the business and senior management.. The role will be based partly out of our HQ site on the Birmingham Business Park in Solihull and partly Home Working (hybrid) We estimate no more than 1 - 2 days per week in the office. Main accountabilities: Conduct comprehensive compliance monitoring reviews - plan, execute and complete compliance monitoring reviews including thematic and desk-based reviews ensuring a thorough and effective approach from planning to finalisationMaintain robust evidence and record-keeping standards - gather and document all relevant evidence during testing to support findings and conclusions, ensuring records are complete, accurate and transparentDeliver high quality reporting - prepare and communicate detailed, well-considered findings from compliance monitoring activities, both verbally and in writing, ensuring reports are comprehensive and insightful.Monitor and support remedial action - track progress of remedial actions, providing clear reporting to stakeholders and offering guidance to management on implementing effective and sustainable improvementsSupport risk assessments and monitoring plan developments - assist in conducting robust compliance risk assessments and contribute to the creation of a proportionate, risk-based annual monitoring plan that aligns business objectives and regulatory requirementsCollaborate on monitoring plan execution - work with the Head of to design, develop and track progress against the compliance monitoring plan, ensuring timely delivery of key activitiesDeliver outstanding stakeholder support - provide exceptional customer support to appointed representatives via the compliance inbox and inbound calls, contributing to the business vision and customer satisfaction goals.Undertake additional responsibilities - perform other compliance-related tasks or ad-hoc projects as required, contributing flexibly to the teams’ objectives and broader organisational priorities Knowledge & Expertise: Experience in compliance monitoring and testing within the financial services industryStrong understanding of regulatory requirements, in particular MCOB, ICOBS, PRIN, SYSC, SUP, PROD, etcExtensive knowledge of the FCA’s Consumer Duty and AR Regime.Expertise in developing risk-based monitoring plans and testing methodologiesStrong analytical and critical thinking skills to identify gaps and issuesKeen attention to detail and adherence to proceduresEffective communication, both written and verbal, for reporting findings and recommendationsBe able to engage with confidence and exert strong influence at all levels of the businessAbility to build strong relationships, overcome objections, negotiate, liaise and gain agreement at all levels of the business Requirements: 5+ years Financial Services experience in second line rolesExperience of compliance monitoring and / or control testingAchieved the Certificate in Mortgage Advice and Practice (CeMAP) or equivalent - as a minimumKnowledge and understanding of the risks inherent in a Network business model - desirableHas achieved an industry recognised professional compliance qualification, for example, ICA Diploma in Governance, Risk & Compliance is preferable. Salary - £60,000 - £65,000 DOE plus plc linked benefits Based on the Birmingham Business Park in Solihull B37 although we do offer hybrid being a split of remote working / office. Internal LSL group candidates must discuss with their immediate line manager in the first instance. If you are interested in applying for this position, please forward your CV with covering letter in confidence to James McNee of the in house recruitment function here at PRIMIS / LSL We are an equal opportunity employer and value diversity at our company. We do not discriminate on your background or needs, if you require any adjustments to make the recruitment process easier, please let us know. LSL are dedicated to protecting your data - our Recruitment Privacy Notice can be viewed on the LSL Careers website

TristoneNash are currently assisting a Regional Housing Provider with the appointment of a qualified Area Compliance Surveyor to join their Asset Management Property team. The Area Compliance Surveyor will be expected to provide a high-quality customer focused professional asset management service which include Compliance and planned investment programmes and contributes to the delivery of Corporate Health and Safety compliance. The role will be Managing compliance audit contracts and provide technical advice across all compliance areas. Monitor and audit Contractors compliance with Health and Safety and the CDM 2015 regulations over a large defined geographical patch, predominately the South of England. You will also be expected to support in the collation of stock condition surveys to ensure the Asset Key Responsibilities Managing audit contracts and providing compliance advice to improve quality standards and assurance to the business, ensuring all compliance activities meet statutory duties and obligations.Manage the Compliance Audit Contracts for Gas Safety, Electrical Safety, Fire Safety, Asbestos, Water Hygiene, and Lifts.Schedule organise and document regular audit contract meetings with external compliance auditors noting areas of risk/concern, good practice and highlighting any trends.Assist the Compliance and Audit Manager in reviewing compliance policies, procedures, and strategies.In conjunction with the Compliance and Audit Manager prepare regular contract compliance and contractor safety audit reports for presenting to a Safety Management Committee, Board, and Committees.Keep up to date on current trends in compliance areas best practice and legislation and provide necessary information and advice to staff. This is an exciting opportunity for someone from an affordable housing Property background or a similar industry, to add real value to an organisation with ambitious growth plans and be a key influencer in its future success. You will ideally have a minimum further education qualification (HNC / HND / Degree) and / or relevant construction, maintenance or building related professional qualification.Experience of managing statutory compliance contractsExperience of managing Contractors and ConsultantsExperience and knowledge of Contractors Health and Safety Policies and CDM RegulationsKnowledge of Health & safety & Compliance law and regulation applicable to a Social Housing Provider including, Asbestos, Water Hygiene, Gas Safety, Electrical Safety, Fire Safety, and LiftsA good understanding and experience of IT packagesYou will also preferably have experience of working within a busy Asset Management delivery team working alongside a team of fellow surveyors. If you would like more information or to apply for this vacancy, please contact us. TristoneNash is working as an employment agency on behalf of a client