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Conduct Reg. Assurance Operations Manager

  • Salary: £45000 - £55000 per annum
  • Location: West Midlands
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    24 Apr 2018
  • Job reference: 30797

An exciting role has arisen for an award winning financial service and general insurance firm within the West Midlands. The role is to support the Conduct Regulation Assurance Manager in formulating and delivering an efficient risk-based 2nd line conduct regulation assurance strategy. Lead, manage and coach the conduct regulation assurance team to deliver the annual plan, designed to add value and provide assurance over key regulatory conduct risks and customer outcomes faced by the group board and senior management.


  • Develop, monitor and manage the delivery of the conduct regulation assurance operational plan
  • Lead, manage, motivate and develop reports so that they know what is expected, are able to maximise their contribution to business objectives and realise their potential
  • Review, quality assure and sign off each stage of the assurance process to ensure Assurance Specialist work is factually accurate, consistently produced in line with quality standards
  • Develop and maintain a conduct focused risk based entity universe to inform the annual conduct regulation assurance plan that considers all regulatory conduct risks and customer outcomes
  • Support senior management discussions and board risk/wider committee reporting relative to outputs from assurance activity
  • Recommend and implement procedural changes and continuous improvement to assurance methodologies to optimise efficiency and added value
  • Build and maintain relationships with compliance, business stakeholders and Industry and professional bodies to ensure the effective delivery of objectives


  • Educated to degree level and professionally qualified to at least Level 4 level or equivalent appropriate professional or audit qualification

Experience and knowledge

  • Good technical understanding of assurance (audit), risk and compliance including risk identification and control assessment
  • Knowledge and experience of the FCA handbook and conduct regulation
  • Evidence of leading and developing a team within the financial services sector

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

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