Compliance Manager

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  • Salary:

    c.£55,000 + Benefits

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  • Published:

    about 2 years ago

My client is looking for a Compliance Manager to manage the establishment and maintenance of the company’s regulatory standards and policies in accordance with the rules and guidance of the FCA and to provide a compliant framework for the business to operate within

Key responsibilities include: 

  • Manage the Compliance team to develop and maintain regulatory standards and policies for the company to provide a compliant framework for the business to operate within.
  • Provision of technical advice and guidance to the Head of Risk and Compliance, Legal and Regulatory Director, senior management and all business areas within the company covering all elements of the FCA Handbook.
  • Identify and evaluate the impact of regulatory change on the business, through analysis of consultations and policy statements issued by the FCA and other regulators.
  • Provide a compliance helpdesk service which acts as a subject matter expert for all compliance matters impacting on the day to day activities of advisers and support staff.
  • To plan and manage technical projects for the Legal and Regulatory function
  • Work closely with the company’s risk analyst to achieve compliance with the risk management approach determine by the parent company. Ensure Risk Management drives compliance monitoring routines.
  • To ensure all compliance risks of a significant nature and impact are reported to the Head of Risks and Compliance.
  • Develop and implement the annual compliance monitoring plan strategy, activities, procedures and resources, ensuring that risk based monitoring activity is carried out within the company in accordance with the annual monitoring plan.


The Person: 

  • Must be Level 4 qualified at a minimum
  • A minimum of 5 years in a senior compliance role preferably within a multi distribution FCA environment, including regular contact with the FCA
  • A strong knowledge of the FCA handbook, principles for business, and the Financial Services & Markets Act 2000

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.