Compliance Manager

Role Overview

Financial services firm, located in Glasgow require an experienced Compliance Manager to be responsible for supporting and developing the firms compliance, company secretarial and legal functions. The role holder will act as the key contact for regulatory matters, ensure compliance with FCA and Group requirements, and provide proactive advice and training to the business. The role also covers policy management, company secretarial duties, and offering legal support across a range of business needs.

Responsibilities

• The role holder will support FCA communications and ensure regulatory reporting requirements are met.
• Preparing and submitting FCA/regulatory reports in collaboration with the Finance team.
• 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.
• Contribute to maintaining ongoing compliance standards and monitoring activities.
• Conducting internal reviews and audits of compliance practices.
• Advising and training colleagues on regulatory requirements and updates.
• Oversee the design, maintenance and implementation of compliance policies and training programmes.
• Reviewing, updating and maintaining compliance policies and procedures in line with FCA and best practice requirements, drafting new policies as needed.

Experience required

• Background in compliance, as well as legal or company secretarial experience.
• Strong understanding of FCA regulations and compliance processes (regulated financial services experience essential).
• Experience in compliance, legal or company secretarial roles; able to adapt to a broad and varied workload.
• Ability to interpret and communicate regulatory and legal requirements to business stakeholders.

Applicants must be located and eligible to work in the UK without sponsorship.

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