Compliance Manager: Financial Services Risk & Assurance

John Williams Ltd; North East; Sur place; GBP 60 000 - 85 000; Plein temps

Résumé du poste

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).

Responsabilités

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

Connaissances

Compliance & risk governance

Audit & assurance

Regulatory reporting

Issue tracking & closure

Description du poste

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