Compliance Manager

Compliance Manager focuses on leading day to day management of the compliance plan. quality assurance methodology and framework – completing reviews, oversight, assessing controls, providing feedback.

What the role involves

• Leading day to day management of the compliance plan. Quality Assurance Methodology and Framework – completing reviews, oversight, assessing controls, providing feedback.
• Supporting the design, delivery and continuous improvement of the annual Compliance Monitoring Plan.
• Support and escalate regulatory breaches.
• Update the compliance risk registers and associated controls.
• Provide technical and operational support to the first line Ops.
• Provide Compliance Training to all new employees and refresher training to existing colleagues.

Skills and requirements

• Experience (ideally 3 years +) of working in a compliance role, preferably within the financial services industry.
• Practical experience and knowledge of Financial Conduct Authority (FCA) regulations including BCOBS, CONC, DISP, Consumer Duty and Conduct Risk.
• Interpreting regulatory requirements to provide practical advice to the business.
• Experience in compliance advisory and compliance monitoring background.

Additional role context

• This role is 2LOD advisory and sits within the Risk and compliance function.