Compliance Advisory Manager

Newcastle upon Tyne

£40,000 - £45,000


I am delighted to be representing a well-known North East financial organisation to recruit a Compliance Advisory Manager on a permanent, full-time basis.

Job Description

This is an opportunity to join an established second line compliance and risk team at a financial services firm based in Newcastle Upon Tyne.

You will need to have a strong background in compliance advisory and/or general compliance work as well as proven experience in the investments or financial services sector.

This role will involve working with both front line and senior staff across the business to ensure continued compliance in all areas.


  • Oversee regulatory horizon scanning including reporting developments to the Business and senior management
  • Provide expert advice and guidance, leading on regulatory interpretation and overseeing the implementation of new policies
  • Provide Compliance Advisory representation on strategic projects and regulatory change initiatives
  • Develop and implement conduct risk policies
  • Contribute to robust and effective compliance controls within the organisation.
  • Maintain and improve compliance policies and procedures
  • Assist in the gathering of internal information in response to regulatory returns and requests
  • Collaborate with other departments to create a culture of compliance.


Knowledge, skills & experience

  • Good knowledge of the FCA handbook (COBS, CONC, COLL, SYSC).
  • Minimum of 3 years relevant experience working in an FCA regulated environment
  • Ability to carry out regulatory research
  • Ability to work to deadlines and manage own workload and train others
  • A pro-active approach to identifying and resolving issues.

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