Assistant Manager - Compliance

TN United Kingdom; Newcastle upon Tyne; On-site; GBP 35,000 - 55,000; Full time

Job summary

An established industry player is seeking an Assistant Manager for Compliance in Newcastle upon Tyne. This role is pivotal in ensuring adherence to regulatory standards and fostering a culture of compliance within the organization. You will collaborate with a dynamic team, supporting compliance monitoring tasks, enhancing policies, and driving strategic projects. With a strong emphasis on growth and collaboration, this position offers a chance to work alongside top professionals in a high-performance environment. If you're self-motivated and eager to make a meaningful impact in financial services, this opportunity is for you.

Benefits

Comprehensive rewards including bonuses

Leadership support for development

Opportunities to work with top professionals

World-class training in financial services

Flexible working options

Qualifications

• Experience in the financial services industry is essential.
• Knowledge of compliance monitoring methodologies or audit experience is crucial.

Responsibilities

• Support the Compliance team and promote compliance awareness.
• Assist in developing and maintaining the Compliance Monitoring Plan.
• Carry out 2LOD monitoring tasks such as Suitability and Transaction Reporting.

Skills

Experience in financial services

Compliance monitoring methodologies

Knowledge of FCA rules

Excellent communication skills

Organizational skills

Team-building skills

Ability to learn quickly

Self-motivated

Education

Higher qualification or degree

Job description

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Assistant Manager - Compliance, Newcastle upon Tyne

Client:

Royal Bank of Canada

Location:

Newcastle upon Tyne, United Kingdom

Job Category:

Other

EU work permit required: Yes

Job Reference:

d598aba20ff8

Job Views:

3

Posted:

10.05.2025

Expiry Date:

24.06.2025

Job Description:

Job Summary

Job Description

What is the opportunity?

Our Compliance team offers a dynamic work environment that promotes strong collaboration, reflecting our core value of diversity and inclusion. We are dedicated to maintaining a high-performance, solution-focused team that consistently delivers value to the business.

Step into a key role within our Compliance Department, where our primary goal is to uphold the highest standards of regulatory compliance and safeguard the integrity across our wealth management operations.

Our team plays a critical role in ensuring that our business activities align with regulatory requirements, fostering a culture of compliance awareness throughout the organization, driving excellence through proactive monitoring and innovative practices.

What will you do?

• Support the activities of the Compliance team and promote a culture of compliance awareness.
• Assist in developing and maintaining the Compliance Monitoring Plan (CMP), including improvements and efficiencies.
• Carry out 2LOD monitoring tasks such as Suitability, Transaction Reporting, Complaints, Best Execution, and other ad hoc work.
• Take ownership for specific areas of the CMP.
• Support the design, evaluation, and assessment of compliance monitoring tasks.
• Assist in maintaining and updating policies and procedures.
• Escalate and report concerns, providing plans or recommendations to mitigate risks.
• Support strategic projects related to business and regulation.
• Maintain clear review files that pass peer review.
• Collaborate with other parts of Compliance on relevant matters.
• Stay informed on industry developments, regulatory changes, and company policies.

What do you need to succeed?

Must-have

• Experience in the financial services industry
• Knowledge of compliance monitoring methodologies or audit experience
• Knowledge of FCA rules, COBS, and Consumer Duty
• Ability to learn quickly and adapt
• Self-motivated with the ability to work under pressure
• Excellent communication and presentation skills
• Strong organizational skills
• Team-building skills

Nice-to-have

• Higher qualification or degree (or equivalent)
• Experience as a Compliance Associate or in related disciplines
• Relevant certifications such as CISI, CII, or ICA

What is in it for you?

We aim to be our best—encouraging growth, collaboration, and delivering trusted advice to clients. We value support, potential, community impact, and shared success.

• Comprehensive rewards including bonuses and benefits
• Leadership support for development
• Opportunities to work with top professionals
• Meaningful impact and contribution
• Dynamic, collaborative, high-performance team environment
• World-class training in financial services
• Flexible working options

Agency Notice

RBC Group does not accept agency resumés. Please do not forward resumés to employees or other locations. We only pay agency fees under prior agreements and do not pay for unsolicited resumés. Contact Recruitment for more info.