Compliance Monitoring Manager (Regulatory)

Become part of a forward-thinking energy provider committed to sustainable solutions across the UK. In this role, you will act as a key specialist, ensuring adherence to FCA regulations and advising the business on compliance matters. Your responsibilities will include performing third-line audit activities to assess regulatory compliance, as well as offering guidance, support, and expertise to stakeholders at all levels.
Initially it will be a six-month contract but there is potential for it to be extended. The role is Hybrid, with one or two days a week being based in their Nottingham office. It is a full-time role, 40 hours per week. Lead the development and delivery of the compliance strategy to meet FCA and regulatory requirements.
Conduct regular horizon scanning to monitor regulatory changes.
Prepare and implement the annual monitoring plan, working with business, risk, and oversight teams, and report deficiencies to Senior Management.
Maintain strong, transparent relationships with the FCA and manage all regulatory requests.
Develop and execute an audit plan covering key FCA risk areas and conduct independent Compliance and Operational audits.
Regularly review and update EEISL-specific policies.
Assess and provide independent assurance on the effectiveness of first- and second-line risk management.
Manage the collation, Senior Manager sign-off, and submission of regulatory reports and breach notifications to the FCA.
Report compliance status, findings, and recommendations to senior management, the Board, and the Audit Committee.
Review and approve AR financial promotions (e.g., websites, digital content) in line with FCA CONC guidelines.
Drive business readiness for new FCA permissions.
Conduct regular and ad-hoc audits of ARs to ensure regulatory and internal compliance and assess related risks.
Review and approve annual FCA compliance training.
Any assignment offer with our client will be subject to a satisfactory checking report from the Disclosure Barring Service.
This vacancy is being advertised by Rullion Ltd acting as an employment business.
from large well-known brands, to SMEs and start-ups. As a family-owned business, Rullion’s approach is credible and honest, focused on building long-lasting relationships with both clients and candidates.