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Compliance Assurance Manager, Stoke-on-Trent
Client: Birchlake Recruitment
Location: Stoke-on-Trent, United Kingdom
Job Category: Other
EU work permit required: Yes
Job Views:
2
Posted:
22.08.2025
Expiry Date:
06.10.2025
Job Description:
Our client is seeking a Compliance Assurance Officer/Manager with 2-3 years of experience in credit lending to support compliance monitoring.
The person will oversee consumer duty outcomes testing and support the delivery of the compliance monitoring plan.
Overall purpose of the role:
The focus of this role is to lead assurance monitoring, deliver quality assurance monitoring in support of the 2LOD compliance risk management framework, and support operational processes within 1LOD. The Compliance Assurance Manager will support thematic and assurance monitoring reviews, focusing on regulatory risk, providing support, guidance, and challenge to achieve regulatory compliance and good customer outcomes.
Responsibilities and accountabilities:
* Support and deliver the compliance assurance monitoring programme, providing high-quality risk-based monitoring and reporting to evidence regulatory compliance.
* Contribute to the Compliance Assurance Plan and other initiatives, managing the framework for compliance risk thematic reviews and ongoing monitoring activities.
* Deliver assurance monitoring, working closely with other risk functions.
* Conduct customer outcomes testing according to regulatory requirements of the Consumer Duty regulations and second-line assurance framework.
* Identify and report compliance risks, offering advice and recommendations for risk mitigation.
* Maintain policies and standards for testing and monitoring compliance controls across all functions and activities.
* Develop standards for scoping, performing, and documenting compliance assurance activities.
* Promote compliance with legal, regulatory, and company standards, fostering a positive risk culture emphasizing transparency, action, and customer outcomes.
* Liaise with first-line business areas to understand key processes and how controls support compliance, especially in Arrears Management, Vulnerable Customer Management, and Complaints Handling.
* Stay updated on the FCA Handbook and key regulatory requirements (e.g., Consumer Duty, CONC, DISP, SMCR, CCA) and apply these to activities.
You:
* Minimum of 2 years compliance monitoring experience in a consumer credit environment.
* Focus on customer outcomes with a sound understanding of the Consumer Duty and relevant regulations.
* Strong audit or assurance testing background.
* Proven ability to write detailed policies, procedures, regulatory updates, and breach reports.
* Strong interpersonal skills to establish effective relationships at all levels.
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