FCA Compliance and Regulations Manager

Rullion; Nottingham; Hybrid; GBP 40,000 - 80,000; Full time

Job summary

Join a forward-thinking energy provider as a Compliance Manager, ensuring adherence to FCA regulations while advising on compliance matters. This exciting role involves leading the compliance strategy, conducting audits, and maintaining relationships with regulatory bodies. With a focus on continuous improvement, you'll work collaboratively to drive results and support stakeholders. This is a full-time, hybrid position offering a dynamic work environment where your contributions can make a significant impact on sustainable solutions across the UK.

Qualifications

• Extensive experience with FCA regulations and compliance matters.
• Strong problem-solving skills and ability to engage with stakeholders.

Responsibilities

• Lead compliance strategy development to meet FCA requirements.
• Conduct audits and provide assurance on risk management effectiveness.

Skills

FCA Compliance

Regulatory Audits

Stakeholder Engagement

Problem-Solving

Communication

Education

Bachelor's Degree in Law or History

Job description

FCA Compliance and Regulations Manager

Direct message the job poster from Rullion

Account Manager at Rullion | BA in Law and History

Become part of a forward-thinking energy provider committed to sustainable solutions across the UK. In this role, you will act as a key specialist, ensuring adherence to FCA regulations and advising the business on compliance matters. Your responsibilities will include performing third-line audit activities to assess regulatory compliance, as well as offering guidance, support, and expertise to stakeholders at all levels.

Initially it will be a six-month contract but there is potential for it to be extended. The role is Hybrid, with one or two days a week being based in their Nottingham office. It is a full-time role, 40 hours per week. If this role feels right, send us your CV.

Accountabilities:

• Lead the development and delivery of the compliance strategy to meet FCA and regulatory requirements.
• Conduct regular horizon scanning to monitor regulatory changes.
• Prepare and implement the annual monitoring plan, working with business, risk, and oversight teams, and report deficiencies to Senior Management.
• Maintain strong, transparent relationships with the FCA and manage all regulatory requests.
• Develop and execute an audit plan covering key FCA risk areas and conduct independent Compliance and Operational audits.
• Regularly review and update EEISL-specific policies.
• Assess and provide independent assurance on the effectiveness of first- and second-line risk management.
• Manage the collation, Senior Manager sign-off, and submission of regulatory reports and breach notifications to the FCA.
• Report compliance status, findings, and recommendations to senior management, the Board, and the Audit Committee.
• Review and approve AR financial promotions (e.g., websites, digital content) in line with FCA CONC guidelines.
• Drive business readiness for new FCA permissions.
• Conduct regular and ad-hoc audits of ARs to ensure regulatory and internal compliance and assess related risks.
• Develop and maintain QA frameworks and provide feedback to ARs.
• Review and approve annual FCA compliance training.
• Work proactively with the Chief of Staff team to resolve problems and deliver solutions.

Knowledge and Skills:

• Extensive experience on FCA-related matters.
• Strong problem-solver with a focus on effective execution
• Builds trust and influence through impactful engagement
• Clear communicator, adept at connecting with senior stakeholders
• Highly collaborative, leveraging team strengths to drive results
• Growth-driven, constantly refining processes for continuous improvement

Please note:

Should your application be successful, and you are offered the role, a number of pre-employment checks need to be carried out before your appointment can be confirmed. Any assignment offer with our client will be subject to a satisfactory checking report from the Disclosure Barring Service.

This vacancy is being advertised by Rullion Ltd acting as an employment business.

Since 1978, Rullion has been securing exceptional candidates for a range of clients; from large well-known brands, to SMEs and start-ups. As a family-owned business, Rullion’s approach is credible and honest, focused on building long-lasting relationships with both clients and candidates.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Contract

Job function

• Job function

  Finance

• Industries

  Services for Renewable Energy

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