Compliance Manager – Finance Lease – Birmingham, London, Manchester (Remote)

£45k to £55k depending on experience.

Employment Type: Full-Time / Permanent.

We have partnered with one of our niche Finance Lease clients, seeking a highly skilled Compliance Manager to join their team. Compliance Manager will play a pivotal role in ensuring our company meets its compliance obligations and regulatory standards, particularly within the FCA framework.

Job Overview:

The Compliance Manager will be responsible for overseeing and managing the company’s compliance programs, policies and procedures to ensure adherence to FCA regulations. The role also includes administrative arrears management and a key focus on maintaining governance standards, conducting internal reviews and supporting staff training initiatives.

Key Responsibilities:

1. FCA Compliance and Reporting:
   • Manage FCA reporting requirements, including FCA Connect and RegData submissions.
   • Prepare and submit accurate reports in line with regulatory deadlines.
2. Monitoring and Reviews:
   • Conduct monthly compliance monitoring and file reviews to ensure adherence to policies and regulations.
   • Maintain oversight of compliance performance across the organisation and report findings to senior management.
3. Governance and Committee Oversight:
   • Oversee the governance committee, including organising meetings, maintaining minutes and distributing meeting papers.
   • Ensure that governance procedures are followed and regularly updated.
4. Staff Training and Development:
   • Maintain the staff training register, ensuring all staff are up-to-date with necessary compliance training.
   • Develop and deliver training sessions on compliance topics to support staff understanding of regulatory requirements.
5. Policy Management:
   • Maintain the policy governance register and update the list of key policies regularly.
   • Ensure policies are compliant with regulatory standards and are effectively communicated to all staff.
6. Compliance Reporting:
   • Complete a quarterly compliance report, summarising compliance activities, monitoring results and action plans.
   • Lead the completion of the annual Consumer Duty review and report, ensuring all regulatory requirements are met.
7. Administrative Arrears Management:
   • Assist with arrears management, including administrative duties related to tracking, reporting and addressing compliance issues.
   • Support the business with compliance-related arrears tasks, ensuring that all actions are conducted in line with regulatory expectations.

Key Skills and Qualifications:

• Proven experience in a compliance management role, ideally within financial services or a regulated environment.
• In-depth knowledge of FCA regulations, including FCA Connect and RegData.
• Strong understanding of compliance monitoring, governance processes and policy management.
• Excellent organisational skills with experience in managing governance committees, maintaining minutes and meeting papers.
• Ability to deliver compliance training and maintain staff training registers.
• Strong analytical and reporting skills, with experience in preparing quarterly and annual compliance reports.
• Exceptional attention to detail and ability to manage multiple tasks simultaneously.
• Strong communication and interpersonal skills, with the ability to work effectively across different teams.

Personal Attributes:

• Proactive and self-motivated with a strong commitment to compliance and regulatory excellence.
• Ability to work independently and manage competing priorities.
• High level of integrity and professionalism in handling confidential and sensitive information.

Contact: Vicky (vicky@thcrecruitment.co.uk) for further details or to apply.