Compliance Manager

ZipRecruiter; Liverpool; On-site; GBP 40,000 - 70,000; Full time

Job summary

A dynamic organization in Liverpool is seeking an experienced Compliance Manager to ensure adherence to FCA regulations and mitigate compliance risks. The ideal candidate possesses a strong understanding of the UK financial services regulatory landscape and has experience in compliance management. This role offers competitive salary and benefits, as well as opportunities for career growth within a collaborative team environment.

Benefits

Competitive salary

Benefits package

Opportunity for professional development

Career growth opportunities

Qualifications

• Proven experience in a compliance management role, ideally within a financial services firm.
• In-depth knowledge of FCA regulations and the UK financial services regulatory environment.
• Experience working with FCA regulatory submissions and reporting.

Responsibilities

• Ensure company operations are in full compliance with FCA regulations.
• Identify and assess compliance risks across business functions.
• Lead internal and external audits and investigate compliance breaches.

Skills

Regulatory compliance

Risk management

Communication

Analytical skills

Problem-solving

Education

Relevant compliance qualifications (e.g., ICA Diploma in Compliance)

Job description

Job Description

Job Summary:

We are seeking an experienced and detail-oriented Compliance Manager to join our dynamic team. The ideal candidate will have a solid understanding of the Financial Conduct Authority (FCA) regulations within a Claims Management environment is but not essential, compliance frameworks, and the regulatory landscape within the UK financial services industry. As a Compliance Manager, you will play a key role in ensuring that the company meets all regulatory obligations, mitigating compliance risks, and maintaining a culture of ethical business practices.

Key Responsibilities:

Regulatory Compliance:

• Maintain a thorough understanding of FCA regulations and ensure company operations are in full compliance.
• Monitor changes in FCA regulations and advise the business on necessary adjustments.
• Implement and oversee compliance policies and procedures in line with FCA requirements.
• Oversee compliance of external partners

Risk Management:

• Identify and assess compliance risks across business functions and proactively work to mitigate potential issues.
• Conduct regular risk assessments and internal and external audits to ensure adherence to regulatory standards.

Training & Awareness:

• Develop and deliver FCA-related training programs for staff to ensure a high level of compliance awareness.
• Educate employees on relevant compliance policies and procedures.

Reporting & Monitoring:

• Monitor and track compliance activities, ensuring accurate and timely reporting to senior management.
• Prepare detailed compliance reports for internal stakeholders and regulatory bodies, when necessary.

Audit & Investigation:

• Lead internal and external audits to assess compliance controls and procedures.
• Investigate potential compliance breaches, take corrective action, and liaise with external regulators and partners / service providers where required.

FCA Liaison:

• Serve as the primary contact with the FCA for regulatory inquiries, notifications, and submissions.
• Ensure timely and accurate submission of regulatory filings and documentation to the FCA.

Policy Development:

• Collaborate with senior management to develop and refine company policies and procedures in accordance with regulatory requirements.
• Ensure policies are clearly documented and accessible to relevant stakeholders.

Advisory Role:

• Provide ongoing guidance to management and teams on compliance-related matters, including the interpretation of FCA rules and regulations.
• Act as a trusted advisor for compliance issues, regulatory changes, and best practices.

Skills & Qualifications:

Essential:

• In-depth knowledge of FCA regulations and the UK financial services regulatory environment.
• Proven experience in a compliance management role, ideally within a financial services firm.
• Strong understanding of regulatory reporting, audits, and compliance risk management.
• Experience working with FCA regulatory submissions and reporting.
• Ability to interpret complex regulations and advise senior management accordingly.
• Strong communication skills, with the ability to interact effectively with senior leadership, external regulators, and internal stakeholders.
• Detail-oriented, with strong analytical and problem-solving abilities.

Desirable:

• Relevant compliance qualifications (e.g., ICA Diploma in Compliance, CISI, or similar).
• Experience in an FCA-regulated firm such as a bank, insurance company, or investment firm claims management environment.
• Knowledge of industry-specific regulations beyond the FCA, such as GDPR, anti-money laundering (AML), and Financial Crime.

Personal Attributes:

• Proactive, with the ability to anticipate and resolve compliance issues before they arise.
• High ethical standards and integrity.
• Strong organizational skills and the ability to manage multiple priorities.
• Ability to work independently and as part of a team.
• Ability to manage a small team of support staff
• A strategic thinker with a focus on long-term compliance goals.

Why Join Us?

• Competitive Salary and benefits package.
• Opportunity to work with a dynamic and fast-growing organization.
• Collaborative work culture that values professional development.
• Exciting career growth opportunities within the compliance field.