Monitoring, Compliance & Advisory Manager
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A market leader within vehicle leasing and management solutions is looking to bring on a Compliance Manager. This newly created role is a great opportunity for someone to make a difference after the company has been acquired by a leading Financial Services group. You will work closely with the leading finance company, supporting customers who are part of regulated financial agreements. The leasing company needs to obtain FCA permissions, so the role requires overseeing compliance to ensure adherence.
Role Responsibilities
* Oversee organisational 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 programmes, conduct monitoring activities, provide guidance and advice to stakeholders, and report on compliance status.
* Mitigate risks associated with non‑compliance and promote a culture of ethical conduct.
Job Scope
* Develop and implement compliance programs, including a Compliance Monitoring Plan (CMP).
* Create and maintain comprehensive compliance frameworks, policies and procedures aligned with regulatory requirements and the organisation’s risk appetite.
* Perform regular risk assessment activities and elevate issues to senior management.
* Manage and deliver a risk‑based annual compliance monitoring plan aligned to regulatory risks and business priorities.
* Conduct audits, analyse data, and identify potential compliance issues.
* Provide SME advice on regulatory change and support projects, change programmes, and ad‑hoc queries.
* Prepare and present compliance status reports and recommendations to senior management.
* Design and deliver targeted compliance training, continuously reviewing training needs and fostering an ethical culture.
* Investigate potential compliance breaches, develop corrective actions, and engage with Line 1 stakeholders; escalating as needed.
* Maintain awareness of regulatory developments, share knowledge with stakeholders, and collaborate with business principals, SCUK risk & legal to support FCA permissions.
Skills and Experience
Behavioural Competencies
* Analytical and problem‑solving skills
* Ability to influence and build relationships
* Independent work with initiative and teamwork
* Excellent communication and interpersonal skills
* Attention to detail and accuracy
* Strong organisational skills and flexibility to adapt to a changing environment
Technical Competencies
* Compliance experience backed with a qualification in risk and compliance from ICA, IRM or similar.
* Extensive knowledge of Compliance Monitoring activity and development of plans.
* Good knowledge of current UK regulation affecting the business and industry.
Relationships
Internal Stakeholders
* Managers and Heads of Department
* Senior Management Team
* Functional colleagues – SCUK
External Stakeholders
* Principal firms (FCA Permissions)
* Regulators (FCA, PRA, ICO)
* Trade associations, including FLA
This is a hybrid role: 3 days on site, 2 days working from home. Discussions/negotiations possible at interview stage.
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