Overview
Monitoring, Compliance & Advisory Manager
A market leader within vehicle leasing and management solutions is seeking a Compliance Manager for a newly created role. The role will work closely with a leading Finance company, supporting FCA permissions and overseeing compliance for regulated financial agreements.
Role Responsibilities
* Oversee the organisation's adherence to laws, regulations, and internal policies; act as the primary point of contact for the Appointed Representative (AR) principal firm
* Develop and implement compliance programs; conduct monitoring activities; provide guidance to stakeholders; report on compliance status
* Mitigate risks associated with non-compliance and promote a culture of ethical conduct
* Develop and implement a Compliance Monitoring Plan (CMP) and maintain comprehensive frameworks, policies, and procedures aligned with regulatory requirements
* Perform regular risk assessments and escalate issues to senior management
* Develop, manage, and deliver the risk-based annual CMP; regularly assess control effectiveness, conduct audits, and analyze data to identify issues
* Provide regulatory change guidance and practical advice to stakeholders; support projects and change programs
* Engage in horizon scanning and stay aware of regulatory developments
* Prepare and present reports on compliance status, findings, and recommendations to senior management
* Identify training needs, design and roll out compliance training, and promote ethical conduct
* Investigate potential compliance breaches; coordinate corrective actions with stakeholders
* Stay updated on changes in regulations and industry best practices
* Collaborate with the business’s principal firm, SCUK risk & legal, to ensure alignment with FCA permissions (Appointed Representative or full permissions); attend SCUK Compliance and Conduct Risk Committee as required
Skills and Experience
Behaviours
* Analytical and problem-solving skills
* Ability to influence and build relationships
* Ability to work independently and as part of a team
* Excellent communication and interpersonal skills
* Attention to detail and accuracy
* Strong organizational skills and adaptability
Technical Competencies
* Compliance experience with relevant qualifications (e.g., ICA, IRM or other recognised body)
* Extensive knowledge of compliance monitoring activities and CMP development
* Good knowledge of current UK regulation affecting the business
Relationships
* Internal: Managers, Heads of Department, Senior Management Team, SCUK functional colleagues
* External: Principal firms (FCA permissions), Regulators (FCA, PRA, ICO), Trade Associations (e.g., FLA)
Job Details
This is a hybrid role: 3 days on site, 2 days remote. Further discussion possible at interview.
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