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Job Specification

Compliance Manager – Suit In House Compliance or FCA/FOS Experience

£40K - £50K + Benefits & Bonus | Northern Home Counties
Ref: 3457R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

Our client, a leading financial services organisation, are looking to recruit a Compliance Manager to work alongside the Head of Compliance to manage the day to day running of the Compliance team. The main duties consist of the following:
• Management of a team to include performance reviews
• Manage the Compliance Monitoring program including periodic reviews and control tests
• Involvement in business-critical projects especially regulatory change
• Investigation and response to formal customer complaints and if required, liaison with the Financial Ombudsman Service
• Ensure that the relevant rules, codes of conduct and principles contained within the FCA sourcebooks (COBS, DISP, CASS and SYSC) are maintained and upheld
• Point of contact with external bodies (FCA, LSE, FOS and lawyers)
You should have several years experience of Retail Compliance from any sector whether gained from in house Compliance, a Consultancy or the Regulator/FOS. Great opportunity to gain first management experience in this expanding company. NB Based between M1 & M40 or on major train lines.
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at

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