Compliance Manager

The Compliance Manager is responsible for ensuring that the organisation complies with all relevant financial regulations and legal requirements and adhering to the Financial Conduct Authority (FCA) regulations and various other financial regulations.

Working Hours:

9-5pm Monday – Friday

Start Date:

Immediate Start Available

The Role

As a Compliance Manager, you’ll ensure our organisation meets all relevant financial regulations and legal requirements. You’ll be responsible for maintaining strict adherence to FCA regulations and a range of other financial standards, helping us operate with integrity and confidence.

Key Responsibilities & Accountabilities

• Prepare clear, accurate and well-structured reports for senior management and executive committees, ensuring key issues, risks and recommendations are effectively communicated to support decision-making.
• Manage and respond to customer complaints in a professional and timely manner, investigating issues thoroughly, ensuring fair outcomes for customers and maintaining compliance with regulatory and internal requirements.
• Maintain a strong understanding of financial services regulation and products, including platforms, pensions and investments, ensuring knowledge remains up to date through ongoing regulatory monitoring and horizon scanning.
• Support the operation of the firm’s compliance and risk framework, including conducting risk assessments, maintaining effective compliance controls and escalating areas of concern where appropriate.
• Assist with regulatory oversight and governance, including preparing reports for senior management and the Risk Committee and supporting responses to regulatory requests.
• Investigate compliance issues and support remediation, including the review of complaints, irregularities and non-compliance matters to ensure fair outcomes and regulatory adherence.
• Promote a strong culture of compliance across the business, including supporting adviser and staff education, reviewing marketing materials for regulatory compliance and assessing the ongoing fitness and propriety of advisers and certified staff.
• Maintain a thorough understanding of AML and financial crime requirements and support the firm in meeting its financial crime prevention obligations.

What we are looking for

• Strong knowledge of the UK regulatory framework, including the FCA Handbook (e.g. SYSC, COBS, DISP, PROD) and Consumer Duty requirements, with the ability to interpret regulation and apply it in a practical business context.
• Good understanding of retail financial services products, including platforms, pensions, investments and protection, together with the financial advice and suitability process.
• Experience of compliance and risk management frameworks, including conducting risk assessments, maintaining compliance controls, and undertaking regulatory horizon scanning.
• Knowledge of financial crime prevention requirements, including Anti-Money Laundering (AML), sanctions and fraud, and relevant guidance such as the Money Laundering Regulations and JMLSG.
• Understanding of governance and oversight within regulated firms, including preparing reports for senior management or risk committees, handling complaints under DISP, and supporting the assessment of adviser fitness and propriety.

• Group Death in Service
• Private Medical Insurance

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