Compliance Manager, Management

Our client is seeking an experienced Compliance Manager to lead and develop their Compliance function. In this role, you will help ensure the business consistently delivers service excellence while operating to the highest regulatory and operational standards.

• Work closely with the Head of Risk to identify areas of the business requiring Compliance oversight, ensuring adherence to regulatory requirements and industry best practice.
• Develop and implement a robust monitoring framework to maintain compliance standards, taking corrective action where needed.
• Maintain accurate, detailed, and up-to-date compliance records across the organisation, providing regular risk-based reports to the Head of Risk.
• Design, deliver, and manage compliance training and testing programmes for all staff—including areas such as Anti-Money Laundering and Treating Customers Fairly—along with producing relevant training materials.
• Manage regulatory reporting, including liaising with the FCA and submitting required returns.
• Review and approve Financial Promotions to ensure compliance with business and regulatory expectations.
• Oversee the Anti-Money Laundering system, reviewing alerts and escalating issues to the Head of Risk as appropriate.
• Monitor changes within the regulatory landscape, assess potential impact on the business, and collaborate with the Head of Risk to develop mitigation plans.

• CII Level 4 Diploma in Financial Services and/or relevant compliance qualifications.
• Strong ability to monitor transactions and business processes, identifying and implementing remedial action when required.
• Advanced report-writing skills in line with regulatory standards.
• Proven ability to work independently, proactively, and with sound judgement.
• Excellent time management, organisational and research skills.
• Ability to offer balanced, constructive feedback to maintain high compliance and quality standards.
• Strong stakeholder management and relationship-building skills.
• Effective decision-making skills with consideration for varied stakeholder needs.
• Open, honest communication style and the ability to build strong working relationships.
• Ability to interpret complex technical information and provide clear recommendations in line with new regulatory requirements.