Compliance Manager

Key Responsibilities

• fca reporting
• kyc management
• compliance audits
• policy drafting
• company secretarial
• regulatory monitoring

Tasks

-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

• fca
• compliance
• legal
• law degree
• communication
• organisational

What You Bring

-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.

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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