Compliance Manager, Finance & Banking

Are you an experienced compliance professional looking for a role where you can make a genuine impact on regulatory standards, risk management and customer outcomes?

We’re looking for a Compliance Manager to support the delivery of an effective, risk-based compliance framework within a regulated financial services environment. This is an opportunity to take ownership of day-to-day compliance matters, provide practical guidance across the business and help ensure regulatory obligations are met.

Working closely with the Head of Compliance and Audit, you’ll play a key role in monitoring compliance, managing complaints and regulatory risks, overseeing appointed representatives and supporting continuous improvement across the business.

• Compliance monitoring:
  Support the delivery of a risk-based monitoring plan, including file audits, thematic reviews, control testing and follow-up of remedial actions.
• Regulatory risk:
  Identify, investigate, record and escalate potential regulatory breaches, conduct issues and control failures.
• Complaints management:
  Investigate complaints and expressions of dissatisfaction, ensuring fair outcomes, appropriate responses, root-cause analysis and accurate reporting.
• Consumer Duty:
  Support the ongoing monitoring and implementation of Consumer Duty, with a focus on good customer outcomes, fair value, consumer understanding and vulnerable customers.
• Appointed representative oversight:
  Support onboarding, due diligence, ongoing monitoring, annual reviews and remediation, ensuring appointed representatives meet regulatory and contractual requirements.
• Compliance advice:
  Provide clear, proportionate guidance and constructive challenge to senior stakeholders and business teams.
• Policies and procedures:
  Help maintain the compliance framework, policies, registers and records in line with applicable FCA requirements.
• Management information:
  Produce regular compliance reports covering key risks, complaints, breaches, monitoring outcomes and emerging trends.
• Governance and financial crime:
  Support SM&CR requirements, Conduct Rules awareness and the identification and escalation of financial crime risks.
• Continuous improvement:
  Keep up to date with regulatory developments and contribute to wider compliance, risk, governance and audit projects.

• Experience conducting compliance monitoring or assurance reviews, managing issues through to resolution and producing management information.
• Strong knowledge of UK financial services regulation and a commitment to maintaining your professional development.
• The confidence to engage with senior stakeholders, provide constructive challenge and escalatie concerns when necessary.
• Excellent analytical, investigative and problem-solving skills, with sound judgement and attention to detail.
• The ability to interpret complex regulatory requirements and translate them into practical, proportionate controls and advice.
• Strong written and verbal communication skills, including report writing and customer correspondence.
• Good working knowledge of Microsoft Word, Excel and Outlook.
• The ability to manage competing priorities, handle sensitive information and work both independently and collaboratively.

• Overseeing appointed representatives or a regulated distribution network.
• General insurance and/or pure protection, including knowledge of ICOBS, PROD, DISP, SUP and CASS 5.
• Consumer Duty implementation and monitoring.
• Financial crime controls, regulatory engagement or SM&CR governance.
• Advanced Excel, data analysis, dashboards or compliance reporting systems.

A relevant compliance or financial services qualification, such as Cert CII, Dip CII or an ICA qualification, would also be beneficial, although equivalent relevant experience and a commitment to ongoing development are valued.

• Salary of £35,000–£38,000 per annum.
• Full-time, Monday to Friday working hours, 9am–5pm.
• The opportunity to work closely with the Head of Compliance and Audit.
• A varied role spanning regulatory compliance, risk, complaints, governance and monitoring.
• The opportunity to influence compliance standards, support good customer outcomes and contribute to the ongoing development of the compliance framework.