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Our client, a forward-thinking and modern financial services firm are looking for a Senior Compliance Manager to join the team on a permanent basis.Â
As Senior Compliance Manager you will be responsible for overseeing and developing all aspects of regulatory compliance across the business. This includes ensuring the policies and processes remain fully aligned with FCA requirements as they scale and adapt.
Role Responsibilities:
- Oversee and manage the firm’s compliance framework and strategy
- Conduct and manage file reviews and quality assurance checks
- Handle FCA reporting (monthly and annual returns)
- Maintain day-to-day regulatory compliance across the business
- Conduct AML checks, including PEPs, SIPs, and RCA
- Maintain and update compliance policies and procedures
- Provide ongoing compliance training to staff (annual and ad hoc)
- Ensure the business remains compliant through operational and structural changes
- Identify and implement improvements in compliance processes
- Provide guidance and support to the wider team on regulatory matters
Key Skills & Experience:
- Level 4 Diploma in Financial Planning (or equivalent)
- Strong technical knowledge of regulatory frameworks within financial services, ideally within the Pensions sector.Â
- Demonstrated passion for pensions and financial planning
- Experience within a compliance function, ideally in a growing or dynamic business environment
- Ability to communicate regulatory requirements clearly and effectively
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
If you would like this job advertisement in an alternative format, please contact MERJE directly.
