FCA Compliance and Regulations Manager

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

Job summary

Join a forward-thinking energy provider dedicated to sustainability. In this full-time hybrid role, you will ensure compliance with FCA regulations and guide stakeholders on compliance matters. Your expertise will be crucial in conducting audits, developing compliance strategies, and maintaining strong relationships with regulatory bodies. This position offers a dynamic environment where your contributions will directly impact the company's adherence to regulations. If you're passionate about compliance and eager to make a difference, this is the perfect opportunity for you.

Qualifications

• Extensive experience with FCA-related matters.
• Strong problem-solving skills with effective execution.

Responsibilities

• Lead the development of the compliance strategy to meet FCA requirements.
• Conduct audits to ensure compliance and assess risks.

Skills

FCA Compliance

Problem Solving

Stakeholder Engagement

Risk Management

Audit Planning

Job description

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 with potential for extension. The role is Hybrid, with one or two days a week 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:

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

Knowledge and Skills:

• Extensive experience with FCA-related matters.
• Strong problem-solving skills with a focus on effective execution.
• Ability to build trust and influence through impactful engagement.
• Clear communication skills, adept at connecting with senior stakeholders.
• Highly collaborative, leveraging team strengths to drive results.
• Decisive and accountable decision-maker, committed to outcomes.
• Growth-oriented, constantly refining processes for improvement.

Please note:

Successful applicants will undergo pre-employment checks, including a satisfactory Disclosure Barring Service report, before appointment confirmation.

This vacancy is advertised by Rullion Ltd, acting as an employment business. Since 1978, Rullion has been securing exceptional candidates for various clients, from large brands to SMEs and start-ups. As a family-owned business, Rullion is committed to building long-lasting relationships with clients and candidates.