Field Based Compliance Manager

12 May 2017
11 Jun 2017
Contract Type
Full Time

FourthLine are exclusively representing our retail financial services client recruit for a Compliance Manager. If you are looking for a generalist Compliance Manager role with a mixture of field based and office based responsibilities within an evolving company, this could be for you.

Reporting to the CEO of the company, this role sits within a team of 3 and will be responsible for the compliance oversight. This is a unique role within a small firm that requires somebody who is used to interacting with senior stakeholders on a regular basis.

Day to day responsibilities will include:

• Plan and execute compliance oversight activity and relationship management visits with firms and their agents. This will include, pre-visit communication, desk based & on-site assessments, reporting, exit interviews and follow-up action plans.

• Produce reports that bring issues and emerging risks to the attention of the firms.

• Assess firms’ policies, procedures and remedial action plans for adherence and make recommendations for remedial action.

• Investigations into breaches, identifying issues and providing reports and recommendations .

• Provide technical input into the development of the standards and voluntary agreements.

• Act as the first point of contact and main liaison for firms.

• Provide advice and guidance to firms in relation to the interpretation and application of the regulatory standards.

• Engage with firms and other stakeholders by representing the firm at seminars, and consumer events.

• Provide input to development of the standards and the supporting information for practitioners.

Suitable candidates for this position must have the following skills and experience:


• A risk management, risk analytics, compliance or audit background in the UK retail financial services industry with a good understanding of the consumer credit space.

• Self starter with the ability to work alone for extended periods.

• First class communication and presentation skills (oral and written).

• Strong interpersonal skills with experience of dealing with senior personnel and gaining acceptance of report findings.

• Ability to undertake detailed analysis across a range of monitoring activities.