Compliance Manager (Head of Compliance Designate)

A Compliance Manager is required by a rapidly expanding, highly entrepreneurial Financial Services provider. This is a really exciting and challenging opportunity as, in addition to becoming FCA regulated, the business is also looking to launch a major new product offering in 2021. It is likely that this role will develop into a Head of Compliance position within 12 months.

Reporting into the Group Finance Director, this is a really broad role that will involve

• Covering all aspects of compliance, including recruitment and training processes and records, sales scripts, marketing materials and websites, customer documentation, call monitoring, GDPR, Bribery & Corruption, risk management, FCA liaison and reporting, complaints etc.
• An initial period of designing/customising and implementing all of the above policies and processes to obtain FCA approval, with the help of an external Compliance consultancy.
• High-level discussions regarding compliance strategy, design of new products, potential acquisitions, FCA strategy etc.
• Meetings with the FCA and liaison with external Compliance consultants.
• Management of routine compliance processes within Sales, Ops, IT, Finance, marketing departments
• Rolling your sleeves up to listen to calls, design documents, resolve customer disputes and being available for advice around the office.

This is a fantastic opportunity for an experienced Compliance Manager with strong experience within an FCA regulated business to transition into a Head of Compliance position within a relatively short period of time. Previous experience of debt management or consumer credit would be of particular interest, although applications are welcomed from all areas of the financial services spectrum. It is likely that you will have worked in a highly entrepreneurial, SME or FinTech environment previously and you must possess excellent stakeholder management skills and have the ability, if not the experience as yet, to work closely with Executive Management teams.


Salary:£50k - £65k + benefits


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