Senior Compliance Manager: Regulatory & Risk Expert

Massenhove Recruitment Limited; North East; On-site; GBP 65,000 - 90,000; Full time

Job summary

Massenhove Recruitment Limited is supporting a Gateshead-based financial services business in appointing a Compliance Manager. The role covers regulatory compliance, conduct risk, complaints, Consumer Duty, AR oversight and governance within the Compliance & Audit function.

The successful candidate will provide practical, proportionate compliance guidance to senior management, lead monitoring activities and drive a risk-based compliance framework ensuring timely remediation and accurate MI.

Qualifications

• Solid experience working within compliance, risk, governance or audit in an FCA-regulated financial services environment.
• Experience undertaking compliance monitoring or assurance reviews and managing identified issues through to resolution.
• Strong knowledge of UK financial services regulation and a commitment to ongoing professional development.
• Experience producing compliance MI, reports and trend analysis for senior stakeholders.
• The confidence to engage with and constructively challenge senior management and business teams.
• Experience supervising, coaching or coordinating the work of others.
• Advanced Excel and data analysis, including dashboards and trend reporting.
• A relevant professional qualification such as Cert CII, Dip CII or ICA, or demonstrable progress towards one.

Responsibilities

• Identify, investigate, record and elevate regulatory breaches, conduct issues, control failures and material risks.
• Manage complaints and DISP requirements ensuring fair, evidence-based outcomes and appropriate redress.
• Undertake root-cause analysis and produce management information relating to complaints and trends.
• Support Consumer Duty implementation, including products, price, value and customer understanding.
• Provide practical, proportionate compliance advice to senior management and business teams.
• Support risk-based compliance monitoring, audits and remediation tracking.
• Oversee AR onboarding, due diligence, annual reviews and ongoing monitoring for FCA compliance.
• Maintain compliance policies, procedures, registers and records aligned with FCA requirements.

Skills

Regulatory compliance

Risk management

Governance

FCA knowledge

Communication

Job description

Massenhove Recruitment Limited is supporting a Gateshead-based financial services business in appointing a Compliance Manager. The role covers regulatory compliance, conduct risk, complaints, Consumer Duty, AR oversight and governance within the Compliance & Audit function.

The successful candidate will provide practical, proportionate compliance guidance to senior management, lead monitoring activities and drive a risk-based compliance framework ensuring timely remediation and accurate MI.