Compliance Manager

An established and growing financial services business is looking for an experienced Compliance Manager to join its Compliance and Audit team.

This is a hands-on role for someone who enjoys being close to the business, providing practical compliance guidance and helping teams understand not just what the regulations say, but how they should be applied in practice.

Working closely with the Head of Compliance and Audit, you will play an important role in maintaining a robust, risk-based compliance framework, overseeing appointed representatives and supporting strong customer outcomes across the business.

The role

You will be involved across a broad range of compliance, risk, audit and governance activity, including:

• Identifying, investigating and escalating regulatory breaches, conduct issues, control failures and other material risks.
• Managing complaints and expressions of dissatisfaction, including investigations, fair and evidence-based outcomes, final response letters, redress considerations and root-cause analysis.
• Supporting the implementation and ongoing monitoring of Consumer Duty, including customer outcomes, price and value, consumer understanding, consumer support and the needs of vulnerable customers.
• Providing clear, proportionate compliance advice and constructive challenge to senior management, business teams and appointed representatives.
• Supporting the delivery of a risk-based compliance monitoring programme, including thematic reviews, file audits, control testing, reporting and remedial actions.
• Acting as a key compliance contact for appointed representatives and overseeing their ongoing compliance with regulatory and contractual requirements.
• Supporting the onboarding, due diligence, annual reviews, monitoring and remediation of appointed representatives, including consideration of fitness and propriety, financial stability, competence and resources.
• Maintaining and developing compliance policies, procedures, registers and records to ensure they remain current and aligned with FCA requirements and regulatory guidance.
• Producing high-quality compliance management information and monthly reporting, identifying trends, key risk indicators, breaches, complaints, monitoring outcomes, overdue actions and emerging risks.
• Supporting governance requirements under SM&CR, including Conduct Rules awareness and fitness and propriety or certification processes where applicable.
• Supporting the identification and mitigation of financial crime risks, including fraud, bribery and corruption, sanctions and money laundering.
• Managing and responding to compliance queries through the Compliance Inbox, ensuring matters are dealt with accurately and within the required timescales.
• Keeping up to date with relevant FCA requirements, including PRIN, Consumer Duty, SYSC, ICOBS, PROD, DISP, SUP, CASS 5, SM&CR and the FCA Conduct Rules.
• Getting involved in ad hoc compliance, risk, governance and audit projects as required.

About you

We are looking for someone with solid experience within compliance, risk, governance or audit in an FCA-regulated financial services environment.

You will ideally have experience of:

• Compliance monitoring, assurance or audit reviews.
• Investigating and managing compliance issues through to resolution.
• Producing management information and reporting for senior stakeholders.
• Providing practical compliance advice and constructive challenge.
• Supervising, coaching or coordinating the work of others.
• Working with appointed representatives or within a regulated distribution environment.
• Complaints, Consumer Duty and customer outcome requirements.
• General insurance and/or pure protection.

You will need strong regulatory knowledge, sound judgement and the confidence to challenge where necessary. Just as importantly, you will be someone who can communicate complex regulatory requirements in a clear, practical and proportionate way.

The ideal candidate will be:

• Naturally analytical with strong investigation and problem-solving skills.
• Commercially aware and able to balance regulatory requirements with the needs of the business.
• Confident communicating with people at all levels.
• Comfortable challenging constructively and raising concerns when required.
• Highly organised, accurate and able to manage competing priorities.
• Professional, credible and resilient when dealing with sensitive or challenging issues.
• Self-motivated and capable of working independently while also being a strong team player.
• Committed to maintaining their regulatory knowledge and continuing their professional development.

Qualifications

A relevant compliance or financial services qualification such as Cert CII, Dip CII or an ICA qualification would be advantageous, as would further training in risk, audit or management.

Strong working knowledge of Microsoft Word, Excel and Outlook is required, alongside confidence using relevant compliance systems.

What’s on offer

This is a broad and varied compliance position offering the opportunity to work closely with senior stakeholders and have a genuine influence on the effectiveness of the organisation’s compliance framework.

For someone looking for a role where they can use their experience, have a voice within the business and continue to develop their compliance career, this could be an excellent opportunity.

Please contact Lesley@CKB recruitment for further information

Work Location: In person

Location: Gateshead | Salary: £35000 - £38000 per year | Job type: Permanent | Posted: 21/10/2026