Compliance Manager

  • by Aspire Recruitment
  • Location Manchester, Greater Manchester, UK
  • Salary £25,000 - £34,000 / year
  • 80 days ago
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Job Description:

Compliance Manager

Up to £34, 000

Manchester City Centre


Role Purpose:


My client provides a wide range of lending products to business customers throughout the UK. Responsibility will focus on ensuring the business is fully compliant, specifically around Financial Conduct Authority, Consumer Credit Act, Money Laundering, Data Protection, fraud, anti-bribery and corruption procedures.


The Compliance Officer also has responsibility for the management and maintenance of the ISO 9001 and ISO 27001 accreditation of the business and also provides support to the wider business on both of these accreditations, as and when required.


Other key duties include responsibility for the over-arching Risk & Assurance framework and also acting as the Complaints Officer for the business.


Key responsibilities:


  • Providing a pro-active and re-active service to ensure the business satisfies all of its regulatory requirements, maintaining and reviewing all internal policies and procedures, best practice guidelines and to minimize any reputational risk to the business.
  • Ensure the business maintains accurate, detailed and up to date compliance records across all areas of the business.
  • Preparation and execution of audits to ensure the business remains compliant, with a view to identifying improvements to existing processes to help build a stronger control environment and add commercial value.
  • Mentoring, training and development of internal compliance auditors within the business
  • Ensuring compliance related procedures and understanding is embedded across appropriate business areas.
  • Report any compliance issues to the business’s SMT and produce a formal bi-annual report to the SMT.
  • Advise on any compliance aspects in respect of new products/new business initiatives.
  • First point of contact for all audits.
  • Complaints Officer for the business, dealing with a range of technical disputes and complaints from customers and liaising directly with the Financial Ombudsman, FCA, and solicitors.
  • Ensure all responsibilities under Treating Customer Fairly are met.
  • Manage and maintain the ISO 9001 Quality Management system, ensuring ongoing compliance with the standard is maintained and external certification is retained
  • Preparation and management of internal ISO 9001 and ISO 27001 audits
  • Design and deliver staff training sessions on Data Protection, Money Laundering, ISO 9001 and ISO 27001

Key Skills / Experience:

  • Logical eye for detail.
  • Good report writing skills
  • Provide solutions and options to issues highlighted within the Risk & Assurance Framework/QMS
  • Able to work as a member of a small team.
  • Ability to develop and maintain positive working relationships with key stakeholders
  • Experience of working in a financially regulated environment.
  • ISO 9001 Lead Auditor qualified and experience of ISO 27001 would be beneficial and knowledge of regulated financial products
  • Experience of implementing and maintaining Quality Management Systems
  • Experience of undertaking audit and compliance checks to maintain procedural requirements
  • Experience of reporting and presentation of audit findings
  • Experience of developing and delivering training courses specifically relating to a financially regulated environment.  

Please note this vacancy is being handled by Aspire Recruitment (agy). Please be aware we receive a high volume of applications for every role advertised and regularly receive applications from candidates who exceed the job credentials. We will only contact you within the next 14 days if you are selected for interview.


  • Job Type Permanent, Full Time
  • Work Authorisation United Kingdom
  • Industry Sector Other
  • Years Experience Less than 1 year
  • Career Level Not Provided
  • Educational level Some Secondary School Coursework