Compliance & Risk Manager

Sector: Financial Services / Insurance

A well-established financial services organisation in the North East is seeking a skilled Risk & Compliance Manager to lead its compliance function. This role is central to ensuring the business maintains robust regulatory standards and fosters a culture of compliance across all departments.

The Role:

• Lead and manage a team delivering risk-based compliance monitoring.
• Provide expert compliance guidance across multiple business areas.
• Monitor emerging regulatory risks and implement new requirements.
• Ensure product and service delivery aligns with FCA Consumer Duty principles.
• Respond to internal and external compliance-related information requests.
• Liaise with external auditors and manage audit actions.
• Deliver accurate compliance monitoring outcomes and identify improvement areas.
• Maintain and update internal policies and procedures.
• Approve compliance sign-offs for customer communications and financial promotions.
• Oversee regulatory training and competence programmes.
• Promote the organisation’s values and culture within the compliance function.
• Act as a key contact for regulatory bodies including the FCA and ICO.
• Manage relationships with the Financial Ombudsman Service.
• Prepare regulatory returns and respond to ad-hoc requests.
• Investigate and manage compliance incidents, ensuring appropriate reporting and resolution.

• Experience in a compliance leadership role within an FCA-regulated environment.
• Strong working knowledge of the FCA Handbook and Consumer Duty.
• Proven ability to lead and develop compliance teams.
• Professional qualifications in compliance, risk, or insurance are advantageous.
• Experience in general or motor insurance is desirable.
• Excellent communication, analytical, and decision-making skills.
• Commercially astute with a proactive and flexible approach.
• Strong stakeholder management and influencing capabilities.
• Ability to drive process improvements and enhance operational efficiency.

• Monday to Friday, 9:00–17:00 (1-hour lunch break)
• 25 days annual leave + bank holidays (rising to 28 days after 5 years)
• Pension scheme: 5% employee contribution, 3% employer contribution
• On-site parking
• Death in service benefit (3x salary)
• Employee Assistance Programme
• Access to a discount platform
• Birthday day off
• Free flu jabs
• Cycle to work scheme
• Salary sacrifice metro season ticket
• Hybrid working (3 days in office, 2 days from home) available post-probation/training