Compliance Manager

Job Title:
Compliance Manager
Purpose of Job:
The Compliance Manager is responsible for ensuring that the organisation complies with all relevant financial regulations and legal requirements and adhering to the Financial Conduct Authority (FCA) regulations and various other financial regulations.
Salary Range:
£46,000 - £52,000
Working Hours:
9-5pm Monday – Friday
Start Date:
Immediate Start Available
Why choose Continuum?
We build relationships that last a lifetime with our clients, but also with our staff so that we become their ‘Home for Life' We are proud of the company culture we have built in making sure that we deliver to our clients, our staff and our partners, which has created a exciting high performance growth business which is now in the Top 50 Financial Advisory business in the UK.
Our focus on collaborative team-work and development means that you will accelerate your own learning so please invest in your future with Continuum.
Benefits
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25 days holiday (plus bank holidays)
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3% employer pension contribution
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Group Death in Service
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Private Medical Insurance
The Role
As a Compliance Manager, you'll ensure our organisation meets all relevant financial regulations and legal requirements. You'll be responsible for maintaining strict adherence to FCA regulations and a range of other financial standards, helping us operate with integrity and confidence.
Key Responsibilities & Accountabilities
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Prepare clear, accurate and well-structured reports
for senior management and executive committees, ensuring key issues, risks and recommendations are effectively communicated to support decision-making.
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Manage and respond to customer complaints
in a professional and timely manner, investigating issues thoroughly, ensuring fair outcomes for customers and maintaining compliance with regulatory and internal requirements.
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Maintain a strong understanding of financial services regulation and products
, including platforms, pensions and investments, ensuring knowledge remains up to date through ongoing regulatory monitoring and horizon scanning.
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Support the operation of the firm’s compliance and risk framework
, including conducting risk assessments, maintaining effective compliance controls and escalating areas of concern where appropriate.
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Assist with regulatory oversight and governance
, including preparing reports for senior management and the Risk Committee and supporting responses to regulatory requests.
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Investigate compliance issues and support remediation
, including the review of complaints, irregularities and non-compliance matters to ensure fair outcomes and regulatory adherence.
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Promote a strong culture of compliance across the business
, including supporting adviser and staff education, reviewing marketing materials for regulatory compliance and assessing the ongoing fitness and propriety of advisers and certified staff.
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Maintain a thorough understanding of AML and financial crime requirements
and support the firm in meeting its financial crime prevention obligations.
What we are looking for
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Minimum Level 4 qualified.
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Strong knowledge of the UK regulatory framework, including the FCA Handbook (e.g. SYSC, COBS, DISP, PROD) and Consumer Duty requirements, with the ability to interpret regulation and apply it in a practical business context.
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Good understanding of retail financial services products, including platforms, pensions, investments and protection, together with the financial advice and suitability process.
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Experience of compliance and risk management frameworks, including conducting risk assessments, maintaining compliance controls, and undertaking regulatory horizon scanning.
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Knowledge of financial crime prevention requirements, including Anti-Money Laundering (AML), sanctions and fraud, and relevant guidance such as the Money Laundering Regulations and JMLSG.
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Understanding of governance and oversight within regulated firms, including preparing reports for senior management or risk committees, handling complaints under DISP, and supporting the assessment of adviser fitness and propriety.
How to apply
Please provide a copy of your C.V along with a covering letter on email to abbie@mycontinuum.co.uk detailing why you would be suitable for the role along with your experience.
Also be aware that a DBS check will be required for this role.