Job Description
Compliance Senior Manager
Location: Central London
Employment Type: Permanent
Reports to: Head of Compliance
Are you an experienced compliance professional looking for your next step? This is an exciting opportunity to join a growing financial services organisation as a Compliance Senior Manager, supporting the Head of Compliance & MLRO across a wide range of advisory, monitoring, and regulatory activities.
The Role
As Compliance Senior Manager, you will play a key role in ensuring the business meets its regulatory obligations and maintains the highest standards of conduct. Your responsibilities will span advisory support, policy oversight, regulatory change management, and monitoring activities, including:
Advisory Responsibilities
* Acting as a trusted business partner to allocated business areas.
* Leading the governance of the SMCR framework.
* Drafting, reviewing, and implementing compliance policies.
* Conducting horizon scanning and advising on regulatory changes.
* Providing training and guidance on new and existing regulatory requirements.
* Approving financial promotions and customer communications.
* Overseeing Consumer Duty compliance for specific business areas.
* Managing complaints processes for those business units.
* Contributing to regulatory reporting and KRI oversight.
Monitoring & Reporting Responsibilities
* Conducting monitoring reviews aligned with the Compliance Monitoring Plan.
* Maintaining records of regulatory changes and compliance recommendations.
* Preparing regular reports for senior management and governance committees.
Ad-hoc Responsibilities
* Preparing or reviewing periodic and ad-hoc regulatory returns (e.g., fee data, CMAR, complaints reporting).
* Supporting operational teams with implementing new regulatory requirements.
About You
You will be a proactive, detail-oriented professional with strong technical knowledge and a passion for driving high compliance standards.
Essential Requirements
* 5+ years' experience in a Compliance role within financial services. Compliance Senior Manager JD -…
* Strong understanding of key FCA and PRA regulations (e.g., COBS, BCOBS, MCOBS, CASS, CONC, SYSC, SUP, DISP, GDPR).
* Excellent communication skills – both written and verbal.
* Ability to take initiative, work independently, and manage competing deadlines.
Desirable
* Degree in a relevant subject.
* Professional qualifications (e.g., CISI).
* Experience in legal, compliance, or audit.