Job Description:
Our client, a leading financial services firm, has an exciting permanent opportunity for a Compliance Manager based in their office in Northeast England. The Compliance Manager will play a critical role in ensuring the firm adheres to the FCA's Consumer Duty requirements, focusing on key areas such as rule mapping, policy and procedure reviews, implementing compliance monitoring plans, and documenting remedial actions. This is a great opportunity to join a growing business.
Skills/Experience:
Proven experience in governance, risk, and compliance, with a focus on Consumer Duty implementation. Strong knowledge of FCA regulations, including PRIN, SYSC, COBS, and Consumer Duty. Expertise in compliance monitoring, internal audit, and risk assessment frameworks. Relevant qualifications in Compliance and/or Financial Advice. Hands-on experience managing teams and delivering regulatory change initiatives. Strong analytical and problem-solving skills, with the ability to manage complex projects and deliver results. Excellent communication and interpersonal skills, capable of engaging with senior stakeholders and regulators. Proactive mindset with a focus on continuous improvement and best practices in compliance and governance. Ideally holds ICA Diploma in International Governance, Risk, and Compliance (or equivalent). Core Responsibilities:
Map FCA rules to business processes, ensuring clear accountability and compliance with PRIN, SYSC, COCON, and related regulations. Conduct gap analyses to identify and address areas requiring development, improvement and remediation, ensuring alignment with Consumer Duty principles. Develop, review, and maintain policies and procedures in line with evolving FCA regulations, including COBS and all relevant FCA guidance and best practice. Ensure all documentation supports transparency, customer fairness, and the firm's risk appetite. Oversee the compliance monitoring plan, prioritising high-risk areas and liaising with other departments to ensure all actions are completed in line with the framework. Oversee risk assessments and testing, ensuring controls are effective in mitigating identified risks. Act as the second line of defence, conducting root cause analysis of material findings and proposing actionable remediation plans. Track remediation progress, produce Management Information (MI), and escalate unresolved issues as needed. Assist drafting compliance reports for submission to the Senior Leadership Team and Board, including insights on horizon scanning and regulatory developments. Collaborate with internal teams and senior leaders to align compliance activities with business goals. Support team development through mentorship and training on regulatory frameworks and compliance best practices. Benefits:
A highly competitive salary. Wider Benefits package.
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Proven experience in governance, risk, and compliance, with a focus on Consumer Duty implementation. Strong knowledge of FCA regulations, including PRIN, SYSC, COBS, and Consumer Duty. Expertise in compliance monitoring, internal audit, and risk assessment frameworks. Relevant qualifications in Compliance and/or Financial Advice. Hands-on experience managing teams and delivering regulatory change initiatives. Strong analytical and problem-solving skills, with the ability to manage complex projects and deliver results. Excellent communication and interpersonal skills, capable of engaging with senior stakeholders and regulators. Proactive mindset with a focus on continuous improvement and best practices in compliance and governance. Ideally holds ICA Diploma in International Governance, Risk, and Compliance (or equivalent). Core Responsibilities:
Map FCA rules to business processes, ensuring clear accountability and compliance with PRIN, SYSC, COCON, and related regulations. Conduct gap analyses to identify and address areas requiring development, improvement and remediation, ensuring alignment with Consumer Duty principles. Develop, review, and maintain policies and procedures in line with evolving FCA regulations, including COBS and all relevant FCA guidance and best practice. Ensure all documentation supports transparency, customer fairness, and the firm's risk appetite. Oversee the compliance monitoring plan, prioritising high-risk areas and liaising with other departments to ensure all actions are completed in line with the framework. Oversee risk assessments and testing, ensuring controls are effective in mitigating identified risks. Act as the second line of defence, conducting root cause analysis of material findings and proposing actionable remediation plans. Track remediation progress, produce Management Information (MI), and escalate unresolved issues as needed. Assist drafting compliance reports for submission to the Senior Leadership Team and Board, including insights on horizon scanning and regulatory developments. Collaborate with internal teams and senior leaders to align compliance activities with business goals. Support team development through mentorship and training on regulatory frameworks and compliance best practices. Benefits:
A highly competitive salary. Wider Benefits package.
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