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Senior Compliance Manager

  • Location: Liverpool
  • Salary: c.£65,000 + Benefits per year
  • Job Type:Permanent

Posted 3 months ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email:
  • Expiry Date: 30 May 2021
  • Job Ref: PC/17323L

To provide technical compliance advice and support to the business on designated investment, mortgage and protection advice matters. Lead key change projects and initiatives. Development and maintenance of a high-level compliance policy framework. All FCA information requests to be co-ordinated in a timely and accurate manner.

Key responsibilities include:

  • Assist the group with any complex technical and compliance queries in the areas of designated investments, mortgages, protection and wider FCA regulatory matters, ensuring the group is suitably equipped to carry out its compliance services for firms and clients.
  • Act as Lead on change projects and as a ‘business consultant’ on all regulatory matters, as applied to designated investment, mortgage & protection services.
  • Ensure that compliance policy is accurate, clear and up to date.
  • Ensure that regulatory services, both new and existing, are fit for purpose and enable the group to successfully compete with competitors in the areas of designated investments, mortgages and pure protection (particularly new services following changes in regulation or relevant legislation).
  • When required, work closely with firms (all brands) to deliver compliance policy and technical guidance.
  • Interact with the FCA and other regulatory organisations in a timely and professional manner and ensure any FCA responses are provided to an accurate and high standard.
  • Undertake the gathering of information and drafting of submissions for regulatory reporting, ensuring that it is accurate and timely.
  • Maintain up to date knowledge of FCA Rules and other relevant regulatory developments.
  • To manage Compliance Technical Manager/s
  • To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives.
  • Ensure that the needs of the business with regard to regulatory developments are met.

The Person:

  • Diploma in Financial Planning (or equivalent)
  • At least three years’ experience in dealing with compliance technical matters relating to designated investment advice within a UK financial Services company
  • 2 years’ people management experience


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.