Compliance Manager

Odin Careers Ltd; Gateshead; On-site; GBP 35,000 - 38,000; Full time

Job summary

Odin Careers Ltd in the United Kingdom is seeking an experienced Compliance Manager to drive the delivery of a risk-based compliance framework in a regulated financial services setting. You will own day-to-day compliance matters, provide practical guidance across the business and help ensure regulatory obligations are met.

You\'ll work with the Head of Compliance and Audit to monitor compliance, manage complaints and regulatory risks, and support continuous improvement across the organisation.

Qualifications

• Experience conducting compliance monitoring or assurance reviews.
• Strong knowledge of UK financial services regulation.
• Ability to engage with senior stakeholders and challenge constructively.
• Excellent analytical, investigative and problem-solving skills.
• Translate regulatory requirements into practical controls and guidance.
• Strong written and verbal communication skills, including reports.
• Proficient MS Word, Excel and Outlook usage.
• Ability to manage competing priorities independently.

Responsibilities

• Support the delivery of a risk-based compliance monitoring plan.
• Identify, investigate, record and escalate potential regulatory breaches.
• Investigate complaints and ensure fair outcomes and reporting.
• Support Consumer Duty monitoring for good customer outcomes.
• Oversee onboarding and ongoing monitoring of appointed representatives.
• Provide clear, proportionate compliance guidance to stakeholders.
• Maintain policies, registers and records in line with FCA requirements.
• Produce regular compliance management information and reports.
• Support governance and financial crime awareness and escalation.
• Contribute to continuous improvement across the business.

Skills

Compliance monitoring

UK regulation

Stakeholder engagement

Analytical thinking

Report writing

MS Office

Attention to detail

Education

Cert CII / ICA qualification

Tools

MS Office

Job description

Are you an experienced compliance professional looking for a role where you can make a genuine impact on regulatory standards, risk management and customer outcomes?

We’re looking for a Compliance Manager to support the delivery of an effective, risk-based compliance framework within a regulated financial services environment. This is an opportunity to take ownership of day-to-day compliance matters, provide practical guidance across the business and help ensure regulatory obligations are met.

Working closely with the Head of Compliance and Audit, you’ll play a key role in monitoring compliance, managing complaints and regulatory risks, overseeing appointed representatives and supporting continuous improvement across the business.

The role

• Compliance monitoring: Support the delivery of a risk-based monitoring plan, including file audits, thematic reviews, control testing and follow-up of remedial actions.


• Regulatory risk: Identify, investigate, record and escalate potential regulatory breaches, conduct issues and control failures.


• Complaints management: Investigate complaints and expressions of dissatisfaction, ensuring fair outcomes, appropriate responses, root-cause analysis and accurate reporting.


• Consumer Duty: Support the ongoing monitoring and implementation of Consumer Duty, with a focus on good customer outcomes, fair value, consumer understanding and vulnerable customers.


• Appointed representative oversight: Support onboarding, due diligence, ongoing monitoring, annual reviews and remediation, ensuring appointed representatives meet regulatory and contractual requirements.


• Compliance advice: Provide clear, proportionate guidance and constructive challenge to senior stakeholders and business teams.


• Policies and procedures: Help maintain the compliance framework, policies, registers and records in line with applicable FCA requirements.


• Management information: Produce regular compliance reports covering key risks, complaints, breaches, monitoring outcomes and emerging trends.


• Governance and financial crime: Support SM&CR requirements, Conduct Rules awareness and the identification and escalation of financial crime risks.


• Continuous improvement: Keep up to date with regulatory developments and contribute to wider compliance, risk, governance and audit projects.

About you

• Experience conducting compliance monitoring or assurance reviews, managing issues through to resolution and producing management information.


• Strong knowledge of UK financial services regulation and a commitment to maintaining your professional development.


• The confidence to engage with senior stakeholders, provide constructive challenge and escalatie concerns when necessary.


• Excellent analytical, investigative and problem-solving skills, with sound judgement and attention to detail.


• The ability to interpret complex regulatory requirements and translate them into practical, proportionate controls and advice.


• Strong written and verbal communication skills, including report writing and customer correspondence.


• Good working knowledge of Microsoft Word, Excel and Outlook.


• The ability to manage competing priorities, handle sensitive information and work both independently and collaboratively.

Desirable experience

• Overseeing appointed representatives or a regulated distribution network.


• General insurance and/or pure protection, including knowledge of ICOBS, PROD, DISP, SUP and CASS 5.


• Consumer Duty implementation and monitoring.


• Financial crime controls, regulatory engagement or SM&CR governance.


• Advanced Excel, data analysis, dashboards or compliance reporting systems.

A relevant compliance or financial services qualification, such as Cert CII, Dip CII or an ICA qualification, would also be beneficial, although equivalent relevant experience and a commitment to ongoing development are valued.

What’s on offer?

• Salary of £35,000–£38,000 per annum.


• Full-time, Monday to Friday working hours, 9am–5pm.


• The opportunity to work closely with the Head of Compliance and Audit.


• A varied role spanning regulatory compliance, risk, complaints, governance and monitoring.


• The opportunity to influence compliance standards, support good customer outcomes and contribute to the ongoing development of the compliance framework.