Senior auditor Work, Jobs in Blisworth, Nth (with Salaries)

Compliance Manager
OCM Wealth Management Ltd —Northampton
- £70,000 - £85,000 a year
- Full-time
- Organisational skills
- Financial services
- In-person
- Free parking
Quick apply
2h
Lead Auditor
Lockheed Martin Corporation —Ampthill
- £50,000 - £55,000 a year
- Full-time
- Analysis skills
- Communication skills
- Employee assistance programme
- Employee discount
Senior Management Accountant
Cosworth —Northampton
- Communication skills
- Time management
Senior HSE & Training Manager
Atlas Workplace Services —Milton Keynes
- £55,000 - £60,000 a year
- Microsoft Word
- Microsoft Excel
- Analysis skills
Quick apply
Counter Fraud Lead
East West Rail —Milton Keynes
- Hybrid work
- Analysis skills
- Contracts
- Leadership
- Annual leave
- Employee assistance programme
Quick apply
5d
Compliance & Audit Manager
Wilson James —Bedford
- £70,000 - £75,000 a year
- Full-time
- Business
- Annual leave
- Employee discount
12d
Regional H&S Manager
JD.COM INTERNATIONAL UK LTD —Milton Keynes
- Analysis skills
- Continuous improvement
- Leadership
Quick apply
Financial Controller
ID Logistics & Transport Ltd —Milton Keynes
- £65,000 a year
- Full-time
- Microsoft Excel
- Analysis skills
- Accounting
Quick apply
13d
Financial Controller
Mercedes AMG PETRONAS —Brackley
- ERP systems
- Analysis skills
- Accounting
11d
Business Continuity Consultant
Positiv+ Cohort —Milton Keynes
- Hybrid work
- Communication skills
Quick apply
12d
Group Financial Controller
Strata —Milton Keynes
- Full-time
- Hybrid work
- Microsoft Excel
- Analysis skills
- Accounting
- Annual leave
Quick apply
6d
Quality Advisor
Balfour Beatty —Harborough Magna
- Hybrid work
- Analysis skills
- Communication skills
- Annual leave
1h
Manufacturing & Inspection Auditor
Ricardo —Leamington Spa
- £38,000 - £40,000 a year
- Weekend availability
- Computer literacy
- Travel
- In-person
- Employee assistance programme
Supplier Quality Engineer - 6 Month Contract
Ricardo —Leamington Spa
- £20 - £25 an hour
- Engineering
- Assembly
- Driving
Head of Finance - Group Accounting
Dominos —Milton Keynes
- Full-time
- Microsoft Excel
- Management
- ERP systems
- Flexible schedule
Lead EHS Specialist
Arabelle Services UK Ltd —Rugby
- In-person
- Communication skills
Quick apply

More jobs to discover

Find similar jobs that you might be interested in.

Lead Auditor
Kiwa —Milton Keynes
A full UK driving licence. Milestone Rewards – paid and unpaid sabbaticals, charity donations, personal gifts, and retail vouchers.
£43,000 a year
Lead Auditor
Lockheed Martin Corporation —Ampthill
Competitive policies that support flexibility and family leave inclusive of enhanced maternity leave. Develop and deliver internal audit schedules covering…
£50,000 - £55,000 a year

I want to receive the latest job alerts for senior auditor in blisworth, nth

By signing in to your account, you agree to SimplyHired's Terms of Service and consent to our Cookie and Privacy Policy.

Explore jobs in more locations

senior auditor jobs near blisworth, nth

Environmental Health Officer jobs in Milton Keynes

Management Accountant jobs in Northampton

Financial Controller jobs in Milton Keynes

Compliance Manager jobs in Northampton

Head Of Accounting jobs in Milton Keynes

Financial Controller jobs in Brackley

Environmental Health Officer jobs in Northampton

Mental Health Support Worker jobs in London

Environmental Health Officer jobs in Birmingham

Environmental Health Officer jobs in Wales

Data Protection Officer jobs in London

Junior Compliance Officer jobs in London

Environmental Health Officer jobs in Yorkshire

Environmental jobs in Scotland

Management Accountant jobs in Wolverhampton

Management Accountant jobs in Colchester

Assistant Accountant jobs in Newcastle Upon Tyne

Entry Level Management Consultant jobs in London

Management Accountant jobs in Burnley

Management Accountant jobs in Birmingham

Compliance Manager

OCM Wealth Management Ltd
Northampton

Quick apply

Job details

Permanent | Full-time
£70,000 - £85,000 a year
2 hours ago

Benefits

Free parking
Company pension
Private medical insurance
On-site parking

Qualifications

Regulatory reporting
Compliance management
Organisational skills
Financial services
Communication skills

Full job description

Location: OCM Wealth Management
Reporting to: SMF 16 - Directors / Senior Management Team
Department: Compliance & Risk

Role Purpose

The Compliance Manager is responsible for supporting and enhancing OCM's compliance framework, ensuring the firm operates in accordance with all applicable FCA regulations, industry standards, and internal policies.

The role is designed as a key succession and development position within the firm. The successful individual will be expected to progressively assume greater responsibility for the oversight of the compliance function, with the long-term objective of becoming the firm's SMF16 (Compliance Oversight) Function holder, subject to regulatory approval and demonstrating the necessary competence, capability, and experience.

Key Responsibilities

Regulatory Compliance

Support the maintenance and development of OCM's compliance monitoring framework.
Assist in ensuring adherence to FCA rules, including Consumer Duty, Conduct Rules, SYSC requirements, and other relevant regulatory obligations.
Monitor regulatory developments and assess their impact on the firm's policies, procedures, and operations.· Maintain and update compliance policies, procedures, and registers.
Support the maintenance and oversight of the firm's SM&CR framework, including Conduct Rules, Certification Regime and Senior Manager responsibilities.

Compliance Monitoring

Conduct compliance monitoring activities in accordance with the Compliance Monitoring Programme (CMP).
Identify, document, and report compliance risks, breaches, and control weaknesses.
Track remedial actions and ensure timely implementation.
Prepare management information and compliance reports for senior management.

Consumer Duty and Client Outcomes

Support the firm's Consumer Duty framework and ongoing monitoring of client outcomes.
Assist in the review of products, services, communications, and customer journeys to ensure fair value and good customer outcomes.
Contribute to annual Consumer Duty assessments and reporting.

Risk Management

Assist in identifying, assessing, and monitoring regulatory and conduct risks.
Maintain risk registers and support risk assessments across business functions.
Work closely with operational and advisory teams to strengthen compliance controls.

Training and Competence Awareness

Deliver compliance guidance and support to staff across the business.
Take Graduates through Stage 1 and Stage 2 Training and carry out regular assessments to ensure ongoing compliance with standards
Assist with the design and delivery of compliance training programmes.
Promote a strong culture of compliance, good conduct, and accountability throughout the firm

Regulatory Reporting and Liaison

Support regulatory reporting requirements and FCA submissions.
Assist in preparing information requests, audits, and regulatory reviews.
Build effective working relationships with external compliance consultants, auditors, and regulatory bodies.

Leadership and Development

Act as a trusted compliance adviser to senior management.
Contribute to the strategic development of the compliance function.
Demonstrate leadership behaviours consistent with future Senior Management Function responsibilities.
Undertake a structured development programme to build the knowledge, skills, and experience required for future appointments as SMF16.
Deputise for the Compliance Officer and represent the compliance function at management meetings where required."

Future SMF16 Development Path

This role is intended to provide a structured pathway towards assuming the SMF16 – Compliance Oversight Function within OCM.

The successful candidate will:

Develop a comprehensive understanding of the firm's regulatory obligations and governance framework.
Gain experience in compliance oversight, regulatory engagement, and senior management reporting.
Participate in strategic decision-making relating to compliance and risk management.
Build the competence and capability required to satisfy FCA expectations for an approved SMF16 individual.
Be considered for future SMF16 approval, subject to performance, experience, regulatory requirements, and Board approval.

Skills, Knowledge & Experience

Essential

Experience within a compliance, risk, or regulatory role in a financial services environment.
Strong understanding of FCA regulation and the UK financial advice/wealth management sector.
Knowledge of Consumer Duty and regulatory governance requirements.
Excellent analytical, organisational, and communication skills.
Ability to work independently and influence stakeholders across the business.
Strong attention to detail and professional integrity.
Level 4 Diploma in Financial Planning or equivalent financial services qualification.

Desirable

Compliance-related qualifications (e.g., ICA, CISI, or equivalent).
Experience supporting FCA-regulated advisory or wealth management businesses.
Previous exposure to compliance monitoring and regulatory reporting.

Personal Attributes

High ethical standards and sound judgement.
Proactive and solutions-focused approach.
Strong leadership potential.
Ability to challenge constructively and influence positive outcomes.
Commitment to continuous professional development.

Success Measures

Effective delivery of the Compliance Monitoring Programme.
Positive regulatory and audit outcomes.
Timely identification and management of compliance risks.
Strong Consumer Duty governance and evidence of good client outcomes.
Demonstrated readiness to assume increased responsibility within the compliance function and progression towards SMF16 status.

Salary

£70k - £85k depending on experience

The role forms part of the firm's succession planning framework. Remuneration will be reviewed as responsibilities increase, including progression towards SMF16 responsibilities.

Annual Bonus

Target: 10% of salary

Linked to:

Compliance Monitoring Programme delivery
FCA audit outcomes
Consumer Duty objectives
Risk management KPIs
Successful implementation of regulatory projects

Pay: £70,000.00-£85,000.00 per year

Benefits:

Company pension
Free parking
On-site parking
Private medical insurance

Work Location: In person

Quick apply

Refine Your Search

senior auditor jobs in blisworth, nth

Compliance Manager

Lead Auditor

Senior Management Accountant

Senior HSE & Training Manager

Counter Fraud Lead

Compliance & Audit Manager

Regional H&S Manager

Financial Controller

Financial Controller

Business Continuity Consultant

Group Financial Controller

Quality Advisor

Manufacturing & Inspection Auditor

Supplier Quality Engineer - 6 Month Contract

Head of Finance - Group Accounting

Lead EHS Specialist

More jobs to discover

I want to receive the latest job alerts for senior auditor in blisworth, nth

Explore jobs in more locations

Jobseeker tools

Employer Tools

Browse

Stay Connected