Compliance Manager Financial Services

Posted 15 March by Brewster Pratap Easy Apply


The Brewster Pratap Recruitment Group are currently working alongside a Doncaster based Financial Services business to recruit a Compliance Manager. Reporting directly into the Chief Compliance and Risk Officer, this is a pivotal role within the business

Ideally located, this is a fantastic opportunity for experienced Compliance Managers with knowledge of FCA policies and procedures living in Doncaster, Sheffield, Rotherham, Retford, Worksop, Barnsley, Wakefield and surrounding areas.


As Compliance Manager duties will include:

  • Support the Risk and Compliance director in refining and embedding the three lines of defence model in risk and compliance management
  • To monitor the regulatory environment using outputs from key bodies and regulators including the FCA, the ICO, FOS and Institute of Risk Management
  • Provide support to the business to ensure the ongoing development of the compliance culture throughout the business
  • Provide oversight to support all employees in their responsibilities to comply with FCA/PRA regulations
  • Monitor the business activities and provide feedback to staff in relation to compliance with relevant legislation, such as Data Protection, Anti-Money Laundering Regulations and Bribery Act
  • Support the risk and compliance Director in providing assurance to the Board around the delivery of good customer outcomes
  • Design and implement an annual compliance monitoring programme
  • Monitor the adherence to regulatory policies and effectiveness of the T&C schemes, providing improvements where necessary to both behaviours and processes


  • Diploma Level 4 qualified or equivalent as a minimum requirement
  • Advanced DipFA level 6 or equivalent
  • Advanced Diploma in Financial Planning AF3 or equivalent or appetite to study for
  • qualification
  • Previous experience of working within an FCA regulated environment, ideally within an
  • advisory firm
  • Cemap qualified
  • Excellent knowledge of the various financial services products including Pensions, Equity, Release, Wills, Investments - qualifications to support knowledge in these areas preferred
  • Experience of General Data Protection Regulation (GDPR)
  • Demonstrable experience of regulatory audit - face to face of thematic in nature


  • Salary of £35,000 - £40,000 DOE
  • Immediate start
  • 25 days holiday + stats
  • Pension scheme
  • Onsite parking
  • Fantastic opportunity to join the team of an award winning business with a fantastic reputation

Brewster Pratap Business & Office Support is a division of the Brewster Pratap Recruitment Group focusing on the recruitment of talent in administration, business support, HR, sales, marketing and purchasing jobs in in South Yorkshire, West Yorkshire, East Yorkshire, North Yorkshire, Lincolnshire and Nottinghamshire. If you are interested in discussing this job in more detail or any other aspect of business and office support recruitment we would really like to hear from you. Please visit our website at for more information.

Required skills

  • pension
  • compliance
  • wills
  • annuity
  • DipFA
  • cemap
  • data protection
  • GDPR

Reference: 34697760

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