Compliance manager Work, Jobs in Steppingley, Bdf (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
16h
Compliance & Training Manager (Part Time/Job Share)
The Professional Fundraiser —Astwick
- £38,000 - £40,000 a year
- Part-time
- Hybrid work
- Bachelor's degree
- In-person
- Free parking
- Employee assistance programme
Quick apply
10d
Compliance & Audit Manager
Wilson James —Bedford
- £70,000 - £75,000 a year
- Full-time
- Business
- Annual leave
- Employee discount
12d
Training and Compliance Manager - Transport
SUEZ —Milton Keynes
- £40,000 a year
- Full-time
- Microsoft Office
- First Aid Certification
- Travel
Lead Auditor
Kiwa —Milton Keynes
- £43,000 a year
- Full-time
- Salesforce
- Travel
- Communication skills
- Annual leave
- Employee assistance programme
Project and Compliance Manager
Stevenage Borough Council —Stevenage
- £41,771 - £45,091 a year
- Full-time
- Hybrid work
- Analysis skills
- Project management
- Driving
- Employee assistance programme
- Employee discount
7d
Compliance and Risk Manager
ExpandJO Business Solutions Ltd. —Watford
- £7,600 - £8,333 a month
- Full-time
- Analysis skills
- In-person
Quick apply
1d
Technical Compliance Manager (Solar, Battery & Heat Pumps)
Sunhome Renewable UK —Milton Keynes
- £35,000 - £60,000 a year
- Full-time
- Hybrid work
- Supervising experience
- Driving
- Flexitime
Quick apply
10d
Product Manager – Departure & Compliance
easyJet —Luton Airport
- Full-time
- Hybrid work
- Leadership
- Employee discount
Global Compliance and Reporting Manager
RSM UK —Milton Keynes
- Full-time
- Hybrid work
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
Head of Compliance (Bank member)
NHSProfessionals —Hemel Hempstead
- £60,000 a year
- Hybrid work
- Continuous improvement
- Travel
- Leadership
- Annual leave
- Employee assistance programme
Quick apply
Compliance Manager
Aramark —Watford
- Full-time
- Management
- Food service
- Communication skills
- Free parking
- Employee discount
2d
Compliance Specialist & Project Lead
Kiwa —Aylesbury
- Up to £35,000 a year
- Full-time
- Hybrid work
- Leadership
- Communication skills
- Annual leave
- Employee assistance programme
4d
Lead Auditor
Lockheed Martin Corporation —Ampthill
- £50,000 - £55,000 a year
- Full-time
- Analysis skills
- Communication skills
- Employee assistance programme
- Employee discount
Logistics Manager - Fixed Term Contract
Silverstone —Silverstone
- Weekend availability
- CAD
- Project management
- Organisational skills
Quick apply
3d
VAT Compliance Manager
RSM UK —Milton Keynes
- Full-time
- Hybrid work
- Microsoft Excel
- Mentoring
Senior Contracts and Performance Manager
East and North Hertfordshire Teaching NHS Trust —Stevenage
- £57,528 - £64,750 a year
- Full-time
- Management
- Master's degree
- Administrative experience
- Flexible schedule
Quick apply
Senior Project Manager x2 6M Contract (Inside IR35) / Open to Perm after 6M
Safran Engineering Services UK Limited —Pitstone
- Engineering
- Project management
- Bachelor's degree
Quick apply
Area Manager, Central Operations - 1 year Fixed Term Contract
Amazon UK Services Ltd. —Dunstable
- Weekend availability
- Microsoft Excel
- Customer service
- Engineering
- Flexible schedule
7d
Technical Project Manager x3 for 6m Contract (Inside IR35) AND x1 Perm
Safran Engineering Services UK Limited —Pitstone
- PMP
- Engineering
- Project management
Quick apply

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Compliance Manager

OCM Wealth Management Ltd
Northampton

Quick apply

Job details

Permanent | Full-time
£70,000 - £85,000 a year
16 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

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