Senior Compliance Manager – Regulatory Risk

Shawbrook

. Provide independent second-line oversight of Regulatory Compliance Risk across the Group .

Posted 11/4/2026full-timeRemote • United KingdomSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Regulatory Compliance Risk Management within the financial services sector, with a strong focus on FCA requirements and risk management frameworks. Capable of providing independent oversight, conducting thorough analyses, and fostering a culture of compliance and conduct across the organization.

Highest-signal resume keywords

Regulatory Compliance Risk ManagementFCA RequirementsRisk Management FrameworksAnalytical SkillsRelationship Management

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ComplianceRisk AssessmentRegulatory Change ProcessesConduct Risk AnalysisRegulatory ReportingRoot-Cause AnalysisRegulatory Permissions ManagementImpact AssessmentRegulatory Framework MaintenanceRegulatory Advice

Soft Skills

JudgementIntegrityInfluential CommunicationConstructive ChallengeAccountability

Certifications & Qualifications

ICA DiplomaICA Advanced Certificate

Industry Keywords

Financial ServicesRegulatory EnvironmentCompliance CultureSecond-Line OversightConduct Risk

About the role

Key responsibilities & impact

Provide independent second-line oversight of Regulatory Compliance Risk across the Group
Support the Director of Compliance & Conduct with Compliance and Conduct Risk responsibilities
Manage the Group’s regulatory horizon-scanning process
Identify, communicate and assign relevant regulatory developments to business owners
Oversee and challenge first-line impact assessments and implementation of regulatory-driven change
Own and maintain the Regulatory Compliance Risk Framework, relevant policies and supporting standards
Oversee adherence to requirements and provide second-line challenge on gaps, exceptions and inconsistencies
Oversee Conduct Risk identification, assessment, monitoring, controls and remediation
Aggregate and challenge material risks, issues and control weaknesses
Identify cross-business themes and escalate inadequately managed risks
Provide Conduct Risk and Regulatory Compliance reporting to governance forums
Analyse conduct events, complaints, customer outcomes and other data to identify risks, trends, root causes and systemic issues
Provide pragmatic regulatory advice and guidance to the business
Oversee regulatory awareness activity and management of regulatory permissions
Analyse regulatory issues and themes to support root-cause identification and Group change programmes
Drive proportionate improvements to business practices and the control environment
Foster an effective Compliance and Conduct culture across the Group

Requirements

What you’ll need

Strong understanding of the financial services regulatory environment, including applicable FCA requirements, regulatory change processes, permissions and Regulatory Compliance Risk
Good understanding of risk management frameworks and embedding regulatory obligations into business processes, controls and decision-making
Strong analytical and judgement skills
Ability to interpret regulatory developments, assess materiality and translate requirements into clear, proportionate expectations
Ability to manage multiple complex priorities
Ability to constructively challenge business decisions and practices
Ability to hold first-line stakeholders accountable for regulatory obligations and agreed actions
Highly credible and influential relationship-management skills across all levels of seniority
Integrity, independence and sound judgement
Commitment to openness, transparency and constructive challenge
Relevant professional compliance qualification such as ICA Diploma, ICA Advanced Certificate or equivalent is desirable but not essential
Substantial experience in regulatory compliance within UK financial services
Strong understanding of FCA requirements, regulatory risk management and second-line oversight

Benefits

Comp & perks

Market leading family friendly policies, including access to Maternity, Adoption and Paternity policies from Day 1 of employment
Free access to Headspace mindfulness and meditation digital health app
Free access to Peppy digital health app
Employee Assistance Programme (EAP)
Cycle to work scheme
Discounts on gym membership
Contributory pension scheme
Death in service benefit
Minimum of 27 days holiday per year
Option to buy or sell holiday days through flexi-holiday scheme
Discounts on gym membership nationwide
Discounts on high street and online brands
Community support and charitable giving
Participation in annual discretionary bonus scheme
Proudly Shawbrook recognition scheme