Compliance Manager are currently looking for an experienced Compliance Manager to provide assistance and support to the Operations Director within a busy and dynamic financial services company. At there will be plenty of scope for progression as we have rapid growth plans over the next 12 months, so if you are looking for a new challenge and want to fast track your progression apply today!

The ideal candidate will have previous experience working within a Compliance Manager role, ideally gained within a consumer credit environment, and should have excellent communication, IT and organisational skills along with the ability to work to deadlines. Attention to detail is key to this role and you must be willing to take on the full responsibility of running the compliance function.


Key Areas of Responsibility:

Your role will be to support the compliance function with legal and regulatory requirements, conduct regular reviews of compliance policies and procedures, ensure both current and future activity is customer focused and complies with its regulatory obligations.

  • Conduct regular internal reviews and audits to ensure compliance procedures are followed

  • Identify compliance matters and make recommendations to the Operations Director that are commercially compliant

  • Review compliance policies and procedures on a regular basis, update and roll out effectively where necessary

  • Maintain documentation of compliance activities such as complaints received or investigation outcomes

  • Conduct risk assessments and maintain register

  • Assist with quality checks on staff and ensure any issues are reported immediately

  • Monitor compliance systems in place and ensure effectiveness

  • Overall management of compliance team and functions

  • Assist with complaints handling and ensuring timely responses are issued

  • Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.

  • Design or implement improvements in communication, monitoring, or enforcement of compliance standards.

  • Provide assistance to internal/external auditors

  • Review consumer communications to ensure compliance with regulatory requirements

  • Adhoc duties as required by the Finance Director/Managing Director

  • Demonstrate flexibility in an ever changing and improving environment, coupled with a positive attitude and a high standard of self-conduct.

  • Attend any meetings/training sessions as requested by Operations Team and the Managing Director.

  • Any other responsibilities required to excel in the role.


Person Specification

  • The ideal candidate will possess the following attributes:

  • Strong knowledge of FCA rules and supporting FCA documentation, Data Protection legislation and the Financial Ombudsman Service.

  • Previous experience working in a compliance management role within consumer credit or FCA regulated background

  • Ability to lead a team and provide support and guidance on all compliance matters

  • Effective communication skills both oral and written

  • Possess a positive can do attitude

  • Experience of producing management reports and analysing data

  • Be an excellent team player with the ability to work on own initiative

  • Be proficient in Microsoft Office including Word, Excel, Powerpoint and Microsoft Outlook

  • Be able to adapt to and embrace change within a dynamic organisation and regulatory environment

  • Be flexible with the ability to work well under pressure and deliver to strict deadlines

  • Have excellent attention to detail



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