Compliance Manager - Conduct

About the role

• Provide high‑quality, timely, and commercially focused advice on conduct risk and customer outcomes.
• Partner with first‑line teams to implement effective controls aligned with Consumer Duty, TCF, PROD and DISP requirements.
• Oversee investigations into conduct‑related incidents or breaches, escalating key findings to the UK Head of Compliance.
• Lead Compliance reviews of new and existing products, including fair value assessments and product governance.
• Review customer communications and financial promotions from a conduct and regulatory standpoint.
• Conduct gap and impact analyses on regulatory changes related to conduct.
• Proactively manage workload in support of UK and International Compliance teams.

• Lead the assessment of complex complaints, including those escalated to Lloyd’s, FOS, or other ADR bodies.
• Support trend analysis and root‑cause analysis of complaints.
• Identify control gaps relating to conduct and collaborate with first‑line teams to address issues promptly.
• Act as the Compliance point of contact for vulnerable customer referrals and drive implementation of the Vulnerable Customer Policy.

• Develop, enhance, and maintain conduct‑related frameworks, policies, procedures, and guidance.
• Complete the annual Conduct Risk Assessment.

• Support conduct and marketing projects across the Group.
• Prepare conduct‑relevant reports and content for committees, Boards, and other governance forums.
• Develop and enhance conduct‑related MI, including KPIs and KRIs.
• Oversee and support delivery of the annual Consumer Duty Board Report.

• Maintain up‑to‑date knowledge of conduct best practice through ongoing professional development.
• Design, deliver, and maintain tailored conduct training and communications.
• Support junior team members in developing their understanding of conduct‑related matters.

About you

• Strong technical knowledge of ICOBS, Consumer Duty, PROD and DISP
• Experience designing and operationalising conduct controls
• Excellent communication, stakeholder management and analytical skills
• Ability to work independently in a high paced environment and on their own initiative, whilst being part of a wider team. 
• Excellent verbal and written communication skills including excellent report writing skills and attention to detail. 
• Ability to build strong and productive relationships with internal and external stakeholders, working collaboratively and demonstrating effective stakeholder management skills.  
• Sound judgement and business acumen with a professional and discreet manner.
• Ability to analyse, interpret and communicate complex issues appropriately to a range of target audiences

Core Values