Compliance Manager, Finance & Banking

Compliance Manager Gateshead | Full-time | Monday–Friday, 9am–5pm Compliance Manager – About the role An established and growing financial services business is looking to appoint a Compliance Manager to join its Compliance & Audit function in Gateshead. Reporting directly to the Head of Compliance & Audit, this is a broad and hands-on compliance role offering exposure across regulatory compliance, conduct risk, complaints, Consumer Duty, appointed representatives, monitoring, governance and operational risk.

You'll play an important role in maintaining and developing an effective, risk-based compliance framework while providing practical advice and constructive challenge to colleagues, senior management and appointed representatives. This would suit an experienced compliance professional who enjoys a varied role and wants the opportunity to make a genuine impact rather than operating within a narrow compliance specialism. Compliance Manager – key duties Identify, investigate, record and escalate actual or potential regulatory breaches, conduct issues, control failures and material risks.

Manage complaints and expressions of dissatisfaction in line with FCA DISP requirements, ensuring fair, evidence-based outcomes and appropriate consideration of redress. Undertake root-cause analysis and produce management information relating to complaints and emerging trends. Support the implementation and ongoing monitoring of Consumer Duty, including products and services, price and value, consumer understanding and consumer support. Provide practical, proportionate compliance advice and constructive challenge to senior management, business teams and appointed representatives.

Support the delivery of a risk-based compliance monitoring programme, including thematic reviews, file audits, control testing and remediation tracking. Act as a key compliance contact for the business's Appointed Representatives (ARs), overseeing their ongoing compliance with FCA requirements, contractual obligations and internal standards. Support risk-based AR onboarding, due diligence, annual reviews, ongoing monitoring and remediation. Assist with fitness and propriety assessments, competence and resource reviews and, where necessary, the orderly termination of AR relationships.

Maintain and develop compliance policies, procedures, registers and records to ensure they remain current and aligned with applicable FCA requirements and legislation. Produce high-quality compliance MI and monthly reporting, covering breaches, complaints, key risk indicators, monitoring outcomes, overdue actions and emerging risks. Present findings, trends and recommendations to senior management and relevant governance forums. Support SM&CR governance, including Conduct Rules awareness, responsibility records and fitness and propriety/certification processes.

Support the identification and mitigation of financial crime risks, including fraud, bribery and corruption, sanctions and money laundering. Assist with the management of the Compliance Inbox, ensuring matters are dealt with accurately and within required timescales. Keep up to date with regulatory developments, including PRIN, Consumer Duty, SYSC, ICOBS, PROD, DISP, SUP, CASS 5, SM&CR and FCA Conduct Rules. Contribute to ad hoc compliance, risk, governance and audit projects as required.

Compliance Manager – Key requirements We're looking for someone with solid experience working within compliance, risk, governance or audit in an FCA-regulated financial services environment. You'll ideally have:
Substantial experience in a compliance, risk, governance or audit role within FCA-regulated financial services. Experience undertaking compliance monitoring or assurance reviews and managing…