Compliance Manager

ESR Group; Glasgow; On-site; GBP 60,000 - 80,000; Full time

Job summary

A compliance and legal services firm in Glasgow is seeking a Compliance and Legal Officer. The role involves supporting regulatory compliance, company secretarial duties, and providing legal assistance. The ideal candidate will have a strong background in compliance and legal processes, with excellent communication skills and the ability to manage multiple priorities. The position offers competitive benefits and opportunities for professional growth.

Benefits

25 days holidays plus bank holidays

Private Medical Insurance

Health Cash Plan

Pension

Death in Service

Employee Assistance Programme

Cycle to Work Scheme

Qualifications

• Background in compliance or legal experience.
• Experience with FCA regulations and compliance processes.
• Ability to communicate regulatory requirements effectively.

Responsibilities

• Support FCA communications and ensure regulatory reporting.
• Maintain ongoing compliance standards and conduct internal reviews.
• Oversee design and implementation of compliance policies.
• Provide company secretarial support for the European business.
• Offer legal assistance across compliance matters.

Skills

Understanding of FCA regulations

Organizational skills

Attention to detail

Excellent communication skills

Education

Law degree or compliance certification

Job description

This job is brought to you by Jobs/Redefined, the UK's leading over-50s age inclusive jobs board.

The role holder will be responsible for supporting and developing ESR Europe's compliance, company secretarial and legal functions. They will act as the key contact for regulatory matters (depending on level of experience), ensure compliance with FCA and Group requirements, and provide proactive advice and training to the business.

The role also covers policy management, company secretarial duties, and offering legal support across a range of business needs.

KEY RESPONSIBILITIES

1. FCA Communication & Reporting
The role holder will support FCA communications and ensure regulatory reporting requirements are met. Depending on seniority, this may include being the primary FCA contact.

• Preparing and submitting FCA/regulatory reports in collaboration with the Finance team.
• Responding to FCA requests for information or queries.
• Monitoring FCA rules and regulatory changes, advising the business on impacts, and providing training/briefing updates as required.

2. Ongoing Compliance
The role holder will contribute to maintaining ongoing compliance standards and monitoring activities.

• Liaising with Group on compliance requirements across ESR Europe.
• Liaising with the Company's external regulatory advisors ACA.
• Conducting internal reviews and audits of compliance practices.
• Advising and training colleagues on regulatory requirements and updates.
• Managing the KYC process across the business and supporting onboarding of new products and clients.

3. Policies, Procedures & Training
The role holder will oversee the design, maintenance and implementation of compliance policies and training programmes.

• Reviewing, updating and maintaining compliance policies and procedures in line with FCA and best practice requirements.
• Drafting new policies as needed.
• Communicating changes and providing training to the business.
• Monitoring and supporting compliance with policies across the business.
• Liaising with Group on company-wide training requirements and managing rollout and completion across Europe.

4. Company Secretarial
The role holder will provide company secretarial support for the European business.

• Assisting with preparing and circulating board agendas and minutes.
• Maintaining statutory registers and company filings (e.g. confirmation statements, director/shareholder changes).
• Maintaining and updating group structure charts.
• Managing accurate KYC records for companies and directors.
• Supporting incorporations, dissolutions and liquidations of group entities.
• Managing records in the company secretarial system (InformDirect).
• Overseeing ICO filings and maintaining the internal data protection register.
• Responding to ONS survey requests.

5. Legal Assistance
The role holder will provide support across a range of legal and compliance matters.

• Drafting, updating and maintaining legal policies and procedures.
• Monitoring company law changes, briefing the business on implications, and delivering updates/training.
• Supporting the drafting, reviewing and negotiating of commercial contracts (e.g. engagement letters, terms and conditions, service contracts, NDAs).
• Assisting with implementation of legal and compliance processes (e.g. NDAs, data protection, money laundering).
• Supporting supplier appointments and tender submissions.
• Liaising and coordinating with external company administrators and legal advisors.

Requirements

The ideal candidate will have a background in compliance, as well as legal or company secretarial experience. Although the exact responsibilities will be dependant on candidate experience, the following provide an overview of desirable skills

• Strong understanding of FCA regulations and compliance processes (regulated financial services experience desirable).
• Experience in compliance, legal or company secretarial roles; able to adapt to a broad and varied workload.
• Ability to interpret and communicate regulatory and legal requirements to business stakeholders.
• Strong organisational and attention-to-detail skills, with the ability to manage competing priorities.
• Excellent written and verbal communication skills, with confidence delivering training and advice.
• Experience working with external regulators, advisors and service providers.
• Legal or compliance-related qualifications desirable (e.g. Law degree, ICSA/CGI qualification, ICA compliance certification).

Benefits

• Holidays - 25 days per year plus 10 bank holidays and local public holidays in Scotland
• Private Medical Insurance
• Health Cash Plan
• Pension
• Death in Service
• Employee Assistance Programme
• Cycle to Work Scheme