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 Team Leadership:
Manage and supervise the Customer Solutions Team, ensuring effective daily operations. Regulatory Adherence:
Ensure compliance with FCA rules, including MCOB, the Consumer Duty, and client SLAs, maintaining best practices in mortgage servicing. Policy Oversight:
Conduct reviews of procedures, policies, and controls to align with the Quality Assurance and Compliance Monitoring Plan, client SLAs, and core values. Staff Development:
Maintain staff competence through training, supervision, performance reviews, and regular feedback. Escalation Management:
Handle escalations related to complaints, vulnerable customers, and exceptions to client mandates, in collaboration with the Head of Ethics and Compliance. Stakeholder Engagement:
Provide guidance to staff and management on compliance matters and liaise directly with clients, stakeholders, and third parties. System Development:
Collaborate with IT to implement and update system processes and controls to meet operational needs. Qualifications & Skills Experience:
Extensive experience in senior management roles within FCA-regulated banks or non-bank mortgage lenders. Qualifications:
Minimum CeMAP Level 2 qualification is essential. Regulatory Knowledge:
Strong understanding of FCA regulations, particularly MCOB, SYSC, and Consumer Duty, along with knowledge of statutory provisions. Mortgage Sector Expertise:
Familiarity with the mortgage market, including lending and administration practices. 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: Enhanced Leave & Pension:
Additional annual leave and a competitive pension scheme. Health & Wellbeing:
Private medical insurance, healthcare cash plans, 24/7 GP access, mental health support, and free flu vaccinations. Career Development:
Sponsored training for qualifications, structured appraisals, and access to webinars and networking opportunities. Family Support:
Enhanced maternity, paternity, and adoption leave, with policies for dependent care and generous discounts on legal services. 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 .
#J-18808-Ljbffr
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 Team Leadership:
Manage and supervise the Customer Solutions Team, ensuring effective daily operations. Regulatory Adherence:
Ensure compliance with FCA rules, including MCOB, the Consumer Duty, and client SLAs, maintaining best practices in mortgage servicing. Policy Oversight:
Conduct reviews of procedures, policies, and controls to align with the Quality Assurance and Compliance Monitoring Plan, client SLAs, and core values. Staff Development:
Maintain staff competence through training, supervision, performance reviews, and regular feedback. Escalation Management:
Handle escalations related to complaints, vulnerable customers, and exceptions to client mandates, in collaboration with the Head of Ethics and Compliance. Stakeholder Engagement:
Provide guidance to staff and management on compliance matters and liaise directly with clients, stakeholders, and third parties. System Development:
Collaborate with IT to implement and update system processes and controls to meet operational needs. Qualifications & Skills Experience:
Extensive experience in senior management roles within FCA-regulated banks or non-bank mortgage lenders. Qualifications:
Minimum CeMAP Level 2 qualification is essential. Regulatory Knowledge:
Strong understanding of FCA regulations, particularly MCOB, SYSC, and Consumer Duty, along with knowledge of statutory provisions. Mortgage Sector Expertise:
Familiarity with the mortgage market, including lending and administration practices. 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: Enhanced Leave & Pension:
Additional annual leave and a competitive pension scheme. Health & Wellbeing:
Private medical insurance, healthcare cash plans, 24/7 GP access, mental health support, and free flu vaccinations. Career Development:
Sponsored training for qualifications, structured appraisals, and access to webinars and networking opportunities. Family Support:
Enhanced maternity, paternity, and adoption leave, with policies for dependent care and generous discounts on legal services. 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 .
#J-18808-Ljbffr
