Compliance Manager

John Williams Ltd; North East; On-site; GBP 60,000 - 85,000; Full time

Job summary

John Williams Ltd seeks a Compliance Manager in Gateshead to support the Head of Compliance and Audit, helping to maintain a risk-based framework and provide day-to-day leadership on compliance matters. You will oversee appointed representatives and promote good customer outcomes within FCA-regulated activities.

The role requires substantial experience in compliance, risk, governance or audit within FCA-regulated financial services, with a focus on monitoring, assurance reviews, and issue

Qualifications

• Extensive experience in FCA-regulated financial services.
• Experience conducting monitoring or assurance reviews.
• Ability to manage issues to closure and produce management information (MI).

Responsibilities

• Support Head of Compliance and Audit in maintaining a risk-based framework.
• Provide day-to-day compliance leadership and advice; oversee appointed representatives.

Skills

Compliance & risk governance

Audit & assurance

Regulatory reporting

Issue tracking & closure

Job description

Our client being a commercial Insurance brokers are looking to hire a Compliance Manager.

The role will be to support the Head of Compliance and Audit in maintaining an effective, risk-based compliance framework; provide day-to-day compliance leadership and advice; oversee appointed representatives; promote good customer outcomes; and manage regulatory, conduct, complaints and operational risk matters across the business.

Must have substantial experience in a compliance, risk, governance or audit role within an FCA-regulated financial services business, conducting monitoring or assurance reviews, managing issues to closure and producing management information.

Full-time 9am-5pm Monday to Friday and based in their Gateshead office

Experience in general insurance and/or pure protection is essential