Compliance Manager

Description

• Reviewing, updating and maintaining compliance policies and procedures in line with FCA and best practice requirements.
• Liaising and coordinating with external company administrators and legal advisors.
• Assisting with implementation of legal and compliance processes (e.g. NDAs, data protection, money laundering).
• Supporting the drafting, reviewing and negotiating of commercial contracts (e.g. engagement letters, terms and conditions, service contracts, NDAs).
• FCA Communication & Reporting The role holder will support FCA communications and ensure regulatory reporting requirements are met. Depending on seniority, this may include being the primary FCA contact.
• Conducting internal reviews and audits of compliance practices.
• Liaising with the Company’s external regulatory advisors ACA.
• Maintaining and updating group structure charts.
• Monitoring and supporting compliance with policies across the business.
• Managing the KYC process across the business and supporting onboarding of new products and clients.
• Overseeing ICO filings and maintaining the internal data protection register.
• Responding to FCA requests for information or queries.
• Monitoring FCA rules and regulatory changes, advising the business on impacts, and providing training/briefing updates as required.
• Ongoing Compliance The role holder will contribute to maintaining ongoing compliance standards and monitoring activities.
• Communicating changes and providing training to the business.
• Managing records in the company secretarial system (InformDirect).
• Maintaining statutory registers and company filings (e.g. confirmation statements, director/shareholder changes).
• Supporting supplier appointments and tender submissions.
• Drafting, updating and maintaining legal policies and procedures.
• Advising and training colleagues on regulatory requirements and updates.
• Policies, Procedures & Training The role holder will oversee the design, maintenance and implementation of compliance policies and training programmes.
• Drafting new policies as needed.
• Liaising with Group on compliance requirements across ESR Europe.
• Liaising with Group on company-wide training requirements and managing rollout and completion across Europe.
• Responding to ONS survey requests.
• Monitoring company law changes, briefing the business on implications, and delivering updates/training.
• Assisting with preparing and circulating board agendas and minutes.
• Supporting incorporations, dissolutions and liquidations of group entities.
• Managing accurate KYC records for companies and directors.
• Preparing and submitting FCA/regulatory reports in collaboration with the Finance team.
• Company Secretarial The role holder will provide company secretarial support for the European business.

Requirements

• Strong understanding of FCA regulations and compliance processes (regulated financial services experience desirable).
• Experience in compliance, legal or company secretarial roles; able to adapt to a broad and varied workload.
• Strong organisational and attention-to-detail skills, with the ability to manage competing priorities.
• Excellent written and verbal communication skills, with confidence delivering training and advice.
• Ability to interpret and communicate regulatory and legal requirements to business stakeholders.
• Legal or compliance-related qualifications desirable (e.g. Law degree, ICSA/CGI qualification, ICA compliance certification).
• Experience working with external regulators, advisors and service providers.

Benefits

• Cycle to Work Scheme
• Death in Service
• Private Medical Insurance
• Health Cash Plan
• Holidays – 25 days per year plus 10 bank holidays and local public holidays in Scotland
• Employee Assistance Programme

Training + Development

Interview process

Visa Sponsorship

Security clearance