466 Compliance Lead jobs in the United Kingdom
Compliance Lead
Posted 3 days ago
Job Viewed
Job Description
Compliance Lead- Waste Management Solutions
Basic salary circa 50,000 + benefits
Based in Nottinghamshire
My client is a leading provider of environmental and sustainability solutions across the UK and Ireland - focused on waste management, resource recovery and circular economy initiatives to recycle materials, create clean energy and drive sustainable change. Due to internal movement, they are now looking for a Compliance Lead to be based at the Nottinghamshire site but with some travel to Leicester either weekly or fortnightly, to ensure environmental and quality compliance. If you have experience as a Compliance Manager and have worked with environmental and waste considerations within manufacturing, waste or heavy industry this is a fantastic opportunity and we'd love to hear from you!
The Role:
- This role is based at the site in Nottinghamshire and it's function is to ensure compliance with all relevant environmental legislation, including waste classification, pollution control and site permits.
- You'll lead the implementation and maintenance of environmental management systems to ensure regulatory compliance and continuous improvement.
- This will include monitoring environmental performance, conducting audits and recommending corrective actions where necessary. You'll also ensure all environmental regulatory reporting such as EA returns etc are completed accurately and on time.
- You'll also manage a compliance advisor who will support the departmental needs.
- This role works closely with the H&S Manager to ensure a consistent and aligned approach across all relevant sites.
- You'll also ensure employees receive the necessary training on environmental and quality compliance responsibilities and contribute to H&S training programs by providing environmental and quality compliance expertise.
- Visits to the Leicester site wil be required either weekly or fortnightly
The Person:
- We're looking for someone with compliance and environmental management experience including risk assessments, auditing, investigation reporting and environmental legislation with some understanding of waste management regulations.
- It would be beneficial to hold a ISO 14001 lead auditor or equivalent compliance-related qualification although this isn't an absolute necessity.
- Management experience is needed as you'll have a compliance advisor reporting into you.
- Key skills for the role also include leadership, organisation and a proactive, communicative approach.
- You'll be willing to travel to other sites either weekly or fortnightly and liaise with external auditors, regulatory bodies and also customers when needed.
The Package:
- A basic salary circa 50,000 is offered
- 10% bonus available
- 25 days holiday +
Compliance Lead
Posted 3 days ago
Job Viewed
Job Description
Compliance Lead - Corporate Governance, Product & Operational Risk
"Make your mark as the first dedicated Compliance Lead in a global engineering and technology design business".
Very competitive Salary + Bonus + Benefits
Location: Kent (Hybrid - 3 days per week onsite)
Make your mark as the first dedicated Compliance Lead in a global engineering and technology design business.
We're seeking a proactive and technically credible compliance professional to step into a newly created role where you'll shape and implement compliance, audit, and regulatory best practice across a fast-paced, international manufacturing and technology design group.
This is a rare opportunity to build a compliance function from the ground up. You'll work across engineering, quality, product development, operations, legal, and commercial teams to improve controls, embed standards, and protect the company's reputation as a trusted supplier of high-integrity, safety-focused technology.
What You'll Be Doing
- Designing and owning compliance systems, policies, training, and risk registers across the business
- Leading internal and external audits across ISO9001, ISO14001, ISO45001, CE/UKCA, EMC and other technical standards
- Collaborating with engineering, product, quality, and legal colleagues to ensure documentation and processes meet regulatory and customer expectations
- Owning third-party relationships with UKAS, regulatory auditors, and accreditation bodies
- Developing group-wide frameworks for anti-bribery, modern slavery, sanctions, and ESG reporting
- Acting as the first port of call for compliance queries from colleagues, customers, and suppliers
- Reporting to the Legal and Compliance Director, with influence across UK and international business units
Why This Role Matters
This business delivers advanced vehicle safety technologies to large fleets and OEMs across the globe. Ensuring these products are compliant isn't just a legal necessity - it's a matter of life and death. You'll ensure products are properly certified, documentation is watertight, and internal processes can stand up to global regulatory scrutiny.
You'll also play a critical role in helping engineers, developers, and commercial teams understand what "good" looks like - without slowing them down. Your work will reduce risk, support innovation, and enable the company to scale safely and sustainably.
In layperson's terms, you'll:
- Ensure the company is doing things properly and legally - particularly in how it designs, tests, sells, and supports its vehicle safety products
- Check that products meet international legal, quality, and safety standards and that teams follow the correct procedures
- Ensure documentation is complete and accurate, and anticipate issues before products reach the market
- Protect the company's reputation and reduce risks such as product recalls, legal disputes, or customer rejections
- Stay ahead of evolving international regulations, including CE/UKCA marking, GSR2, R155, R156, and more
- Work as a partner to product, engineering and operations teams - enabling compliant innovation, not policing it
- Prepare the business for future growth, acquisition, investment or exit, where compliance is increasingly board-level priority
Who We're Looking For
This is not a compliance admin role. It's a strategic and practical position for someone who enjoys being hands-on and advisory, and who can bring professional gravitas to influence cross-functional teams.
You'll need:
- Proven experience in compliance, governance or audit roles in a regulated engineering, manufacturing, automotive, electronics, aerospace or med-tech environment
- Deep practical knowledge of UK and international regulatory frameworks: ISO9001, ISO14001, ISO45001, CE/UKCA, EMC, RoHS, REACH, GSR2, R155/R156
- Experience building and embedding compliance and audit frameworks from scratch
- Strong analytical skills, attention to detail, and process discipline
- Excellent written and verbal communication skills - able to interpret regulation and turn it into practical guidance
- Confident stakeholder management across departments and levels
- A relevant qualification - such as Certified Compliance & Ethics Professional (CCEP) - is required
- A background in law/legal compliance would be advantageous, as would experience supporting technical product compliance
Location & Logistics
This is a hybrid role with a minimum of 3 days per week onsite in Kent. You must live within a reasonable commuting distance. Remote-only applicants cannot be considered.
Likely commutable locations include:
Dartford, Medway, Gravesham, Maidstone, Sevenoaks, Bromley, Orpington, Tonbridge, Bexley, Sidcup, South East London boroughs, and parts of South Essex.
To apply confidentially or learn more, contact our consultants at Martin Veasey Talent Solutions quoting reference LX (phone number removed)
Compliance Lead
Posted 3 days ago
Job Viewed
Job Description
Compliance Lead - Corporate Governance, Product & Operational Risk
"Make your mark as the first dedicated Compliance Lead in a global engineering and technology design business".
Very competitive Salary + Bonus + Benefits
Location: Kent (Hybrid - 3 days per week onsite)
Make your mark as the first dedicated Compliance Lead in a global engineering and technology design business.
We're seeking a proactive and technically credible compliance professional to step into a newly created role where you'll shape and implement compliance, audit, and regulatory best practice across a fast-paced, international manufacturing and technology design group.
This is a rare opportunity to build a compliance function from the ground up. You'll work across engineering, quality, product development, operations, legal, and commercial teams to improve controls, embed standards, and protect the company's reputation as a trusted supplier of high-integrity, safety-focused technology.
What You'll Be Doing
- Designing and owning compliance systems, policies, training, and risk registers across the business
- Leading internal and external audits across ISO9001, ISO14001, ISO45001, CE/UKCA, EMC and other technical standards
- Collaborating with engineering, product, quality, and legal colleagues to ensure documentation and processes meet regulatory and customer expectations
- Owning third-party relationships with UKAS, regulatory auditors, and accreditation bodies
- Developing group-wide frameworks for anti-bribery, modern slavery, sanctions, and ESG reporting
- Acting as the first port of call for compliance queries from colleagues, customers, and suppliers
- Reporting to the Legal and Compliance Director, with influence across UK and international business units
Why This Role Matters
This business delivers advanced vehicle safety technologies to large fleets and OEMs across the globe. Ensuring these products are compliant isn't just a legal necessity - it's a matter of life and death. You'll ensure products are properly certified, documentation is watertight, and internal processes can stand up to global regulatory scrutiny.
You'll also play a critical role in helping engineers, developers, and commercial teams understand what "good" looks like - without slowing them down. Your work will reduce risk, support innovation, and enable the company to scale safely and sustainably.
In layperson's terms, you'll:
- Ensure the company is doing things properly and legally - particularly in how it designs, tests, sells, and supports its vehicle safety products
- Check that products meet international legal, quality, and safety standards and that teams follow the correct procedures
- Ensure documentation is complete and accurate, and anticipate issues before products reach the market
- Protect the company's reputation and reduce risks such as product recalls, legal disputes, or customer rejections
- Stay ahead of evolving international regulations, including CE/UKCA marking, GSR2, R155, R156, and more
- Work as a partner to product, engineering and operations teams - enabling compliant innovation, not policing it
- Prepare the business for future growth, acquisition, investment or exit, where compliance is increasingly board-level priority
Who We're Looking For
This is not a compliance admin role. It's a strategic and practical position for someone who enjoys being hands-on and advisory, and who can bring professional gravitas to influence cross-functional teams.
You'll need:
- Proven experience in compliance, governance or audit roles in a regulated engineering, manufacturing, automotive, electronics, aerospace or med-tech environment
- Deep practical knowledge of UK and international regulatory frameworks: ISO9001, ISO14001, ISO45001, CE/UKCA, EMC, RoHS, REACH, GSR2, R155/R156
- Experience building and embedding compliance and audit frameworks from scratch
- Strong analytical skills, attention to detail, and process discipline
- Excellent written and verbal communication skills - able to interpret regulation and turn it into practical guidance
- Confident stakeholder management across departments and levels
- A relevant qualification - such as Certified Compliance & Ethics Professional (CCEP) - is required
- A background in law/legal compliance would be advantageous, as would experience supporting technical product compliance
Location & Logistics
This is a hybrid role with a minimum of 3 days per week onsite in Kent. You must live within a reasonable commuting distance. Remote-only applicants cannot be considered.
Likely commutable locations include:
Dartford, Medway, Gravesham, Maidstone, Sevenoaks, Bromley, Orpington, Tonbridge, Bexley, Sidcup, South East London boroughs, and parts of South Essex.
To apply confidentially or learn more, contact our consultants at Martin Veasey Talent Solutions quoting reference LX (phone number removed)
Compliance Lead
Posted 3 days ago
Job Viewed
Job Description
Compliance Lead- Waste Management Solutions
Basic salary circa 50,000 + benefits
Based in Nottinghamshire
My client is a leading provider of environmental and sustainability solutions across the UK and Ireland - focused on waste management, resource recovery and circular economy initiatives to recycle materials, create clean energy and drive sustainable change. Due to internal movement, they are now looking for a Compliance Lead to be based at the Nottinghamshire site but with some travel to Leicester either weekly or fortnightly, to ensure environmental and quality compliance. If you have experience as a Compliance Manager and have worked with environmental and waste considerations within manufacturing, waste or heavy industry this is a fantastic opportunity and we'd love to hear from you!
The Role:
- This role is based at the site in Nottinghamshire and it's function is to ensure compliance with all relevant environmental legislation, including waste classification, pollution control and site permits.
- You'll lead the implementation and maintenance of environmental management systems to ensure regulatory compliance and continuous improvement.
- This will include monitoring environmental performance, conducting audits and recommending corrective actions where necessary. You'll also ensure all environmental regulatory reporting such as EA returns etc are completed accurately and on time.
- You'll also manage a compliance advisor who will support the departmental needs.
- This role works closely with the H&S Manager to ensure a consistent and aligned approach across all relevant sites.
- You'll also ensure employees receive the necessary training on environmental and quality compliance responsibilities and contribute to H&S training programs by providing environmental and quality compliance expertise.
- Visits to the Leicester site wil be required either weekly or fortnightly
The Person:
- We're looking for someone with compliance and environmental management experience including risk assessments, auditing, investigation reporting and environmental legislation with some understanding of waste management regulations.
- It would be beneficial to hold a ISO 14001 lead auditor or equivalent compliance-related qualification although this isn't an absolute necessity.
- Management experience is needed as you'll have a compliance advisor reporting into you.
- Key skills for the role also include leadership, organisation and a proactive, communicative approach.
- You'll be willing to travel to other sites either weekly or fortnightly and liaise with external auditors, regulatory bodies and also customers when needed.
The Package:
- A basic salary circa 50,000 is offered
- 10% bonus available
- 25 days holiday +
Interim Compliance Lead
Posted 3 days ago
Job Viewed
Job Description
Interim Compliance Lead - Housing Compliance (6 months, with potential extension)
Council in West Sussex
We are seeking an experienced Compliance Team Leader to join our housing team on an initial 6-month interim basis, with the possibility of extension or future permanent roles within the council.
You will oversee day-to-day compliance operations, ensuring statutory and regulatory requirements are met across the council's housing stock. Managing one team member, you will coordinate the scheduling, monitoring, and completion of compliance remedial works covering fire safety, asbestos, gas, lifts, water hygiene, and electrical safety.
A key part of this role is leading the operational
Interim Compliance Lead
Posted 3 days ago
Job Viewed
Job Description
Interim Compliance Lead - Housing Compliance (6 months, with potential extension)
Council in West Sussex
We are seeking an experienced Compliance Team Leader to join our housing team on an initial 6-month interim basis, with the possibility of extension or future permanent roles within the council.
You will oversee day-to-day compliance operations, ensuring statutory and regulatory requirements are met across the council's housing stock. Managing one team member, you will coordinate the scheduling, monitoring, and completion of compliance remedial works covering fire safety, asbestos, gas, lifts, water hygiene, and electrical safety.
A key part of this role is leading the operational
Certification and Compliance Lead
Posted today
Job Viewed
Job Description
⭐️ Certification & Compliance Lead
Home Based
Competitive Salary
Our client is a leading wealth management firm who are seeking a motivated professional to take ownership of their Certification Regime responsibilities under the FCA’s Senior Managers & Certification Regime (SMCR). This role plays a vital part in ensuring that all certified staff remain fit and proper to perform their roles, and that their regulatory obligations are delivered to the highest standards.
Role & Responsibilities:
- Coordinating the checks and assessments that confirm colleagues are “fit and proper” to carry out their roles.
- Guiding managers and staff so they understand their responsibilities under the regime.
- Keeping accurate records and reporting to show we’re doing things properly.
- Spotting and dealing with any issues that could affect certification.
- Working with various teams to weave certification into everyday processes like recruitment, training and performance reviews.
- Looking for ways to make our processes smoother and more effective.
Do you have the following to apply?
- Diploma in Regulated Financial Planning (or equivalent).
- Strong understanding of SMCR, the FCA Handbook and compliance expectations
- Previous Compliance experience within a wealth management/IFA company.
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
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External Reporting Compliance Lead
Posted 2 days ago
Job Viewed
Job Description
**Job Title: External Reporting Compliance Lead**
**Location: London, United KIngdom**
**Contract: permanent**
**About us**
Diageo was created in 1997 but its business is built on the principles and foundations laid years before by giants of the industry - Arthur Guinness, John Walker, Elizabeth Cumming and many more. Today, Diageo is a world class leader in beverage alcohol, producing an outstanding collection of over 200 brands and owning the top two largest spirit brands in the world, Johnnie Walker and Smirnoff and 20 of the world's top 100 spirit brands. Its portfolio also includes Crown Royal, J&B, Buchanan's and Windsor Whiskies, Cîroc and Ketel One vodkas, Captain Morgan, Baileys, Don Julio, Tanqueray, and Guinness.
Diageo has built a strong platform for growth - through investment in its own brands, and by acquisition to broaden the geographical footprint and category depth and range. The company's strong local business units are well positioned to win in increasingly competitive and fast-paced environments. Diageo's portfolio is well-diversified across price-tiers, enabling it to participate where consumer opportunity is greatest, and to capture shifts in consumer preference.
Diageo's culture is built and maintained by the five values that underpin its business and guide how Diageo works. At Diageo, employees are _passionate about its customers and consumers_ and want to _be the best_ . They give each other the _freedom to succeed_ and _value each other_ . Employees work hard so they can be _proud of what they do_ and how they do it. While Diageo moves at pace, constantly evolving and improving, its values remain consistent. Diageo wants employees to live these values every day, everywhere so that Diageo can be proud of what they do and be the best that they can be.
**About the scope**
The External Reporting team is part of the Controller's Group. The primary roles and responsibilities of the team are:
+ Preparation of the Group's Annual Report, SEC filings (20-F, 6-K, etc), Press Releases and various other statutory filings § Compliance with relevant reporting related regulations in the EU, UK and US (IFRS, UK Company's Act, FRC, SASB, SEC, FASB, TCFD, TNFD, etc)
+ Developing the Group's Accounting Manual and reporting instructions, practical guidance training materials
+ Consolidation and review of data submitted by the group.
+ Centre of excellence in accounting, reporting and ESG (including treasury related transactions, pension accounting, business combinations, etc)
+ Governance, compliance, risk management for reporting § External audit relationship
**Purpose of the Role**
This role exists to safeguard the integrity, accuracy, and compliance of Diageo's key external reporting - including the Annual Report, 6-K, and 20-F - in line with IFRS, UK, and US regulatory requirements, external guidance, and internal policies. It ensures that all external communications deliver consistent, transparent, and strategically aligned messaging.
The role is pivotal in maintaining Diageo's position as a peer-group leader in reporting, meeting stakeholder expectations, and driving both efficiency and continuous improvement in reporting processes. You will partner closely with the Chief Accountant, Group Controller, Group CFO, and the Diageo Executive team to deliver high-quality, compliant, and insight-driven reporting.
**Key Responsibilities**
+ **Regulatory Intelligence:** Monitor, interpret, and distil new and emerging regulations into clear, actionable insights for senior leadership
+ **Policy Alignment:** Shape and implement internal policies to ensure they fully reflect evolving external requirements
+ **Annual & ESG Reporting Leadership:** Supervise the end-to-end Annual Report and ESG reporting process, ensuring consistent messaging across all filings and publications - acting as "Editor-in-Chief" for the Annual Report
+ **External Benchmarking:** Build and sustain a strong external network to provide fresh perspectives and best-practice insights in reporting
+ **Regulatory & Auditor Liaison:** Serve as a key contact for regulators, legal counsel (internal and external), and independent auditors
+ **Compliance Assurance:** Maintain rigorous compliance with IFRS, FRC, SASB, SEC, FASB, TCFD, TNFD, and other applicable frameworks, covering both financial and non-financial reporting
+ **Statutory Reporting Support:** Ensure adherence to local GAAP where applicable, engaging technical specialists as needed
+ **Stakeholder Engagement:** Facilitate timely resolution of technical matters across internal and external partners
+ **Investor Relations Collaboration:** Partner with the IR team to support market announcements and investor communications
**About You**
+ Professionally qualified accountant (e.g., ACA, ACCA, CPA) with 10+ years' post-qualification experience, ideally with exposure to FMCG (beneficial but not essential)
+ Proven track record in finance leadership with strong audit and controls expertise
+ Outstanding leadership, coaching, and communication skills, with the ability to inspire across all levels of the organisation.
+ Skilled at crafting and editing both financial and non-financial reports with precision and clarity
+ Strong influencing skills - able to simplify complex concepts and connect them to the bigger picture
+ Experienced in leading geographically dispersed teams and navigating multi-country, cross-functional environments
+ Deep understanding of systems, processes, and opportunities for continuous improvement in reporting
Celebrating our inclusive and diverse culture is core to Diageo's purpose of "celebrating life every day everywhere". This purpose is inclusive in nature, as it values everybody irrespective of background, disability, religion, gender identity, sexuality or ethnicity.
We know that for our team to thrive and to realise our ambition, we depend on having diverse talent with a range of backgrounds, skills and capabilities in each of the 180 countries in which we operate and to reflect our broad consumer base.
Flexibility is key to success in our business, and many of our staff work flexibly in many ways, including part-time, compressed hours, flexible location.
We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process and to perform essential job functions.
**Worker Type :**
Regular
**Primary Location:**
1HQ
**Additional Locations :**
**Job Posting Start Date :**
With over 200 brands sold in more than 180 countries, we're the world's leading premium drinks company. Every day, over 30,000 talented people come together at Diageo to create the magic behind our much-loved brands. From iconic names to innovative newcomers - the brands we're building are rooted in culture and local communities. Our ambition is to be one of the best performing, most trusted and most respected consumer products companies in the world.
Our founders, such as Arthur Guinness, John Walker, and Charles Tanqueray, were visionary entrepreneurs whose brilliant minds helped shape the alcohol industry. And through our people, their legacy lives on. Join us, and you'll collaborate with talented people from all corners of the world. Together, you'll innovate and push boundaries, shaping a more inclusive and sustainable future that we can all be proud of.
With diversity at our core, we celebrate our people's unique passions, commitments and specialist skills. Because when varied voices, mindsets, and personalities come together, great ideas are born. In our supportive culture, your voice will be heard and you'll be empowered to be you. Just bring your ambition, curiosity and ideas, and we'll celebrate your work and help you reach your fullest potential.
**DRINKiQ**
What's your DRINKiQ? Take our quiz to understand how alcohol is made and explore the effects of drinking. You can discover everything you need to know at DRINKiQ (
COP and Compliance Lead
Posted 295 days ago
Job Viewed
Job Description
Forseven, a revolutionary company is looking to transform the EV industry through cutting-edge technology and innovative engineering practices, are seeking a COP & Compliance Lead to join our highly skilled and Manufacturing team.
The role will operate in a hybrid capacity out of our offices in Leamington Spa, Warwickshire where the successful candidate will have the opportunity to work alongside some of the most visionary minds in the automotive field.
The COP and Compliance Lead will be responsible for specifying, generating, implementing, and maintaining the manufacturing COP control plans at our Contract Manufacturing location. The role will require a level of self-initiative and ability to work independently, as well as a collaborative approach working with the various stakeholder, including the Homologation team and our Contract Manufacturer.
What you will do:
- Generating and implementing vehicle specific COP control plans for our Contract Manufacturing Plant.
- Work closely with our Homologation team to ensure COP control plans comply with necessary regulations.
- Defining all required COP activities to support market compliance with the respective authorities.
- Maintaining COP control plans throughout Series production, and monitor their effectiveness.
- Ensuring our Contract Manufacturer complies with all necessary standards set by Forseven.
Who you are:
- Experience generating new COP control plans.
- Good understanding of automotive regulation requirements and the role of COP within.
- Previous experience in established OEMs
- Degree in Engineering or equivalent qualification
- Excellent collaboration skills working with other stakeholders
- Previous experience working with Contract Manufacturing beneficial
About us and our culture…
At Forseven, we are more than just a team of professionals; we are dynamic innovators, visionary collaborators and trailblazers who believe in making a difference. Our passion lies in revolutionising the electric vehicle industry through our cutting-edge advancements and sustainable solutions that aim to transform the way transportation is perceived.
Currently operating under stealth mode, our focus is entirely directed towards achieving excellence as pioneers in creating sustainable mobility solutions which will help shape the future of transportation. We're looking for enlightened individuals who possess an unwavering passion, relentless drive, and insatiable curiosity to question conventional norms and push beyond perceived limitations.
Regulatory and Compliance Lead (CASS)
Posted 22 days ago
Job Viewed
Job Description
Location : London (Hybrid Office, Home, and Occasional Client Site Travel)
Salary : up to £94,000 plus discretionary bonus, with Generous Benefits Package
RGH Global is excited to partner with our client, a leading provider of regulated outsourcing services within the financial services industry, to recruit a Regulatory and Compliance Lead with CASS Specialism . This is a fantastic opportunity for an experienced compliance professional to join a dynamic organization, delivering exceptional service to clients and driving strategic compliance initiatives.
As the first point of contact for clients and beneficiaries, you will play a pivotal role in ensuring regulatory compliance, with a focus on Client Assets Sourcebook (CASS) requirements, while supporting broader compliance objectives. This hybrid role offers flexibility, combining work from our clients London office, home, and occasional travel to client sites.
Your Benefits- Competitive salary and comprehensive benefits package.
- Opportunities for training and professional development to enhance your skills.
- A supportive, inclusive workplace committed to diversity, equality, and positive change.
As a Regulatory and Compliance Lead (CASS Specialist) , you will provide second-line compliance support, acting as a strategic partner to business leaders to align regulatory and compliance initiatives (including Consumer Duty) with organizational goals. This role combines strategic oversight with hands-on compliance advisory and operational responsibilities. You will leverage your CASS expertise and regulatory knowledge to manage compliance matters, guide stakeholders, and foster a culture of compliance excellence.
Key Responsibilities- Develop and maintain a comprehensive understanding of relevant laws, regulations, and internal policies.
- Provide expert advice on CASS, including client money and assets, CASS Resolution Pack (CASS RP), and Client Money and Assets Report (CMAR).
- Offer guidance to business units on compliance matters and conduct risk-based compliance reviews.
- Design and deliver compliance training programs to educate employees on regulations and policies.
- Monitor and enhance the effectiveness of compliance training initiatives.
- Collaborate with internal teams (e.g., quality assurance, risk management, internal audit) for a coordinated compliance approach.
- Investigate and respond to compliance-related inquiries from regulators, clients, and employees.
- Support the Senior Managers and Certification Regime (SMCR) by assisting with FCA Connect forms and Directory Persons submissions.
- Prepare and submit regulatory reports and filings.
- Keep management informed of significant compliance issues and emerging risks.
- Contribute to compliance governance reporting and management information (MI) for board reports.
- Stay informed about industry trends and participate in relevant forums.
- Manage compliance support staff as needed.
- Certified professional in compliance or risk management.
- Strong CASS expertise, including client money/assets, CASS RP, and CMAR.
- Proven experience in a second-line compliance role within financial services.
- Working knowledge of the FCA Handbook.
- Excellent analytical and problem-solving skills to identify and mitigate compliance risks.
- Strong communication and interpersonal skills to convey complex compliance issues to non-specialists.
- Ability to work independently and collaboratively in a fast-paced, deadline-driven environment.
- Exceptional attention to detail and organizational skills.
- Proficiency in drafting compliance oversight reports and delivering face-to-face training.
- Ability to analyze FCA returns for consistency with prior submissions.
- Self-motivated with strong IT skills, particularly in Microsoft Excel and Office applications.
- Experience with compliance monitoring tools and software.
- Strong decision-making skills under pressure.
- Knowledge of insurance industry practices and procedures.
Our client is committed to fostering a diverse and inclusive workplace, promoting positive change and equality. Applications from all backgrounds are warmly welcomed.
How to ApplyIf youre a compliance professional with a strong CASS background and a passion for driving regulatory excellence, wed love to hear from you! Please submit your CV and a cover letter to RGH Global via our application portal or contact our team for more details.
Join a forward-thinking organization and make a meaningful impact in the financial services industry!