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Conduct Assurance Manager

Compliance and Conduct Assurance Manager

£28,000 - £33,000

Bourne End

Job Purpose

To provide independent oversight of all aspects of conduct risk, including regulatory compliance, customer outcomes, and adherence to the company policy and procedure.

Provide proactive support and guidance on all elements of conduct risk.

Key Responsibilities

Continuously monitor, assess and test the conduct risk within head office functions and the network to ensure compliance with regulation and company policy.

Provide guidance, reporting, Auditing and assurance to senior management and the branch network on the compliance to policy and report any identified risks.

  • Carry out the Conduct Assurance monitoring programme in a timely and effective manner, compile reporting and where appropriate make recommendations for change.

  • To support and adhere to the Core Values of the company including Outstanding Customer Service and ELL's TCF Policy and to execute these behaviours to their full extent and intent.

  • Responsible for the timeliness, accuracy and record keeping of all reporting in respect of conduct assurance monitoring, and provide reports to the Head of Conduct Assurance.

  • Actively share best practice with the branch network and central functions.

  • To effectively and efficiently complete all duties and responsibilities as assigned, to Company standards.

  • Attendance at meetings as and where required.

  • Manage internal and external relationships with product providers and partners.

  • Support and work with Head of Conduct Assurance to ensure appropriate risk methodologies and tools are used and identify improvements.

  • Assisting to build models and model monitoring.

  • Maintain and develop reporting mechanisms to advise the business of risk from regulatory and company practice perspectives.

  • Provide support to the Conduct Assurance team on, testing, monitoring and reporting.

Key Interfaces

  • Operational Management and Senior Management

  • First and Second Line of Defense: Operational Control, Quality Assurance and Compliance


  • Knowledge of the financial services industry and product knowledge of the unsecured credit industry, related risk management, regulation and practices

  • Relevant subject matter knowledge in conduct risk including compliance with regulatory standards

  • Working within conduct risk frameworks, standards and vocabulary, e.g.

    customer outcomes

  • Developing monitoring programmes and tools to ensure consistent definition, identification, assessment and collection of risk information


  • Excellent communication skills, both verbal and written

  • Ability to deal with conflicting demands ensuring key priorities and deadlines are met through effective time-management.

  • Innovative and a problem solver

  • Team player

  • Able to grasp complex information and develop solutions