Compliance Manager – (Ref: 99) in Leicester

Compliance Manager – (Ref: 99)

The role can be based at either Leicester / Salisbury / Bolton / Bristol

Permanent

Hybrid

Full Time

Overview of WBR Group

WBR Group is a leading provider of Small Self-Administered Scheme (SSAS) administration, actuarial, law and tax advisory services. With a focus on delivering excellent outcomes for business owners, SMEs, entrepreneurs, and families, WBR Group offers personalised and proactive administration services for their clients.

Role Summary

The Compliance Manager supports the Director of Group Risk by helping WBR meet its regulatory obligations, apply industry best practice and protect the business and its clients from harm.
The role requires a proactive compliance professional with broad regulatory awareness. The postholder will be confident in navigating complex and overlapping regulatory frameworks, advising leadership and helping to embed a strong compliance culture across the business.

Key Accountabilities

Regulatory Compliance & Oversight

• Maintain and develop the firm’s compliance frameworks across all relevant regulatory bodies: SRA, HMRC, TPR, CIOT, ICO, and IFoA
• Assist the Director of Risk and Compliance, and act as the alternative point of contact, for regulatory enquiries, audits, and inspections
• Monitor and interpret regulatory developments, assessing their impact on the firm and advising leadership accordingly
• Oversee supplier and vendor control arrangements.
• Provide compliance oversight and challenge for the firm’s cyber security controls
• Provide advice and guidance on regulatory compliance matters across the business.
• Coordinate the implementation of new regulatory requirements and regulatory change initiatives.
• Provide guidance, support and appropriate oversight to junior members of the Compliance team.
• Develop, review and maintain compliance policies, procedures, standards and registers.

Monitoring, Assurance & Controls

• Manage and maintain the Compliance Monitoring Programme.
• Conduct thematic reviews and compliance monitoring activities.
• Oversee the firm’s control monitoring framework, assessing the effectiveness of key regulatory controls.
• Track, report and monitor remedial actions arising from monitoring activities.
• Perform compliance assurance reviews and provide independent challenge where necessary.
• Support the development of Management Information (MI) and Key Risk Indicators (KRIs).

Consumer Protection & Customer Outcomes

• Oversee the firm’s complaints handling framework and complaints governance arrangements.
• Monitor complaints trends and identify root causes and remediation opportunities.
• Support Consumer Duty governance, monitoring and reporting activities.
• Review customer outcomes, vulnerable customer arrangements and fair value assessments.

Data Protection

• Support compliance with UK GDPR and Data Protection Act requirements.
• Maintain oversight of the firm’s data protection framework.
• Support Data Protection Impact Assessments (DPIAs) and data protection risk reviews.
• Deliver guidance and training on data protection obligations.
• Oversee data breach management, subject access requests, and privacy impact assessments
• Maintain ICO registration requirements and ensure records of processing activities are kept up to date where appropriate.

Training

• Work with the Training team to develop and deliver compliance and regulatory training programmes.
• Promote awareness of regulatory obligations and ethical standards.
• Support the embedding of a strong compliance culture throughout the organisation.

General

• Assist the Director of Group Risk in liaising with external regulators, auditors and other third parties on compliance matters, ensuring responses are clear, complete and appropriately communicated to the business.
• Work collaboratively with colleagues to achieve the team’s objectives.
• Provide support to other team members as required, including covering additional tasks during periods of holiday, absence or peak workload.
• Contribute to various ad hoc projects related to risk, governance, and compliance as they arise within WBR Group.
• Comply with the Health & Safety Guidelines as set out in the Health & Safety Management System document
• Demonstrate behaviours in line with our Company Values ‘PEER’
• Ensure compliance with our Company policies, procedures and guidelines
• The role may be subject to credit & DBS checks

Skills & Experience Required

• Proven experience in a compliance role within a regulated financial services environment.
• Experience managing regulatory reporting and compliance frameworks.
• Ability to analyse regulatory requirements and provide pragmatic business guidance.
• Strong analytical and problem-solving skills.
• Excellent organisational skills.
• Strong communication skills.
• Flexibility and adaptability.
• Attention to detail and accuracy.
• Good level of competence with all Microsoft Office applications.
• Ability to work independently and collaboratively as part of a small team, with confidence to manage day-to-day responsibilities with limited supervision.

The following experience is not essential but would be beneficial. Where it is not already held, the postholder should be willing to develop knowledge in these areas:

• Familiarity with UK GDPR, AML, TPR, FCA, HMRC, CIOT, SRA, SMCR and Consumer Duty requirements.
• At least two years’ experience in a compliance role within a growing business, including monitoring, checking or quality assurance activity, preferably in the financial services sector.
• Worked within a SSAS or SIPP environment for at least 2 years.

We are looking for someone who:

• Has a genuine appetite to learn and develop.
• Enjoys challenge and takes ownership.
• Solves problems constructively and pragmatically.
• Is a team player.
• Is adaptable and resilient.
• Is achievement-oriented.
• Is commercially aware and able to balance risk, compliance and business needs.

Qualification Requirements

• Relevant professional qualifications such as ICA, IRM, or CISI are advantageous.

Application deadline: 30/10/2026

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