Compliance Manager

Job Summary:

The role holder will be Compliance Officer, MLRO and Data Protection Officer reporting directly to the Board of Directors for the Pension company within the Group and responsible for providing regulatory compliance assistance, advice and support primarily to this company but also within the wider Group as part of the central group compliance team.

Duties will include but are not limited to:

  • Working with the Directors on regulatory oversight activities and regulatory reporting;
  • Providing ongoing advice and support on regulatory compliance matters, as required;
  • Identify and implement developments to the business compliance framework;
  • Supporting the maintenance of the risk management framework for the business, as required;
  • Identifying new or changed compliance risks;
  • Supporting the development, delivery and reporting of the compliance monitoring programme;
  • Coordinating the delivery of regulatory change initiatives or projects impacting the businesses;
  • Providing anti-money laundering, terrorist financing, sanctions, bribery, facilitation of tax evasion, data protection advice and support to the business;
  • Ensuring regulatory and professional body correspondence, notifications and annual returns are responded to and handled appropriately and promptly;
  • Maintaining the Compliance Manuals, policies and associated documentation, as required;
  • Maintaining the appropriate regulatory registers;
  • Preparation of monthly compliance board reports;
  • Oversight of new business and periodic client reviews to ensure they meet internal standards and regulatory requirements;
  • Approving advertising, marketing material and other external facing documents, as required;
  • Assisting with collation of information for external banking reviews;
  • Preparation and delivery of regulatory training;
  • Ensuring knowledge of compliance regulation is always up-to-date with recent developments and changes to legislation;
  • Any other compliance related duties that may be required from time to time.

Reporting To:

Head of Compliance / Board of Directors

Qualifications Required:

  • 5 GCSEs or equivalent at grade C or above
  • Diploma in Compliance and AML/CFT is desirable but not essential as previous experience in the role is key


  • We are primarily looking for someone with experience working within the requirements of the Financial Services Rule Book and the AML/CFT Code, with at least 5 years’ experience in a similar compliance role.
  • Microsoft Office
  • A working knowledge of CCH, Laserfiche and ViewPoint would be an advantage but not essential.


External and internal continuous professional development will be provided and encouraged.


  • Attention to detail and accuracy
  • Able to work under pressure and to strict deadlines
  • Strong communication skills
  • Able to work on own initiative & with minimal supervision
  • Organisational skills & ability to prioritise


Support and assist the Compliance Department


  • Proactive
  • Problem solver
  • Team player
  • Enthusiastic
  • Flexible approach
  • Personable


Full Time is preferable. Will consider part time hours.


  • Flexible hours and flexible working opportunities
  • Pension
  • Health Care
  • Medicash Health Plan
  • Study support
  • Personal development and growth programmes
  • Team events
  • Discounted gym membership

Closing Date – Friday 27th October 2023