Compliance Manager
Gateshead | Full-time | Monday–Friday, 9am–5pm
Compliance Manager – About the role
An established and growing financial services business is looking to appoint a Compliance Manager to join its Compliance & Audit function in Gateshead.
Reporting directly to the Head of Compliance & Audit, this is a broad and hands-on compliance role offering exposure across regulatory compliance, conduct risk, complaints, Consumer Duty, appointed representatives, monitoring, governance and operational risk.
You'll play an important role in maintaining and developing an effective, risk-based compliance framework while providing practical advice and constructive challenge to colleagues, senior management and appointed representatives.
This would suit an experienced compliance professional who enjoys a varied role and wants the opportunity to make a genuine impact rather than operating within a narrow compliance specialism.
Compliance Manager – key duties
Identify, investigate, record and escalate actual or potential regulatory breaches, conduct issues, control failures and material risks.
Manage complaints and expressions of dissatisfaction in line with FCA DISP requirements, ensuring fair, evidence-based outcomes and appropriate consideration of redress.
Undertake root-cause analysis and produce management information relating to complaints and emerging trends.
Support the implementation and ongoing monitoring of Consumer Duty, including products and services, price and value, consumer understanding and consumer support.
Provide practical, proportionate compliance advice and constructive challenge to senior management, business teams and appointed representatives.
Support the delivery of a risk-based compliance monitoring programme, including thematic reviews, file audits, control testing and remediation tracking.
Act as a key compliance contact for the business's Appointed Representatives (ARs), overseeing ...
Compliance Manager in Newcastle upon Tyne employer: Massenhove Recruitment
Join a leading global Lloyds broker renowned for its commitment to excellence and innovation in the Treaty Reinsurance sector. Our collaborative work culture fosters professional growth, offering extensive training and development opportunities while ensuring a supportive environment where your contributions are valued. Located in a vibrant area, we provide competitive benefits and a dynamic atmosphere that encourages creativity and teamwork, making us an exceptional employer for those seeking a rewarding career.
