Full job description
Capital Finance - Compliance Manager
Company Overview
Capital Finance is a directly authorised mortgage and protection brokerage based in London. We are a dynamic and growing business with ambitious plans and a strong focus on delivering fair customer outcomes and maintaining high standards of regulatory compliance.
Summary
We are currently recruiting for a Compliance Manager, to work remotely. The role involves providing full compliance oversight and ensuring regulatory compliance across the business. The Compliance Manager is responsible for ensuring the firm meets its obligations under the FCA’s rules, principles, and guidance, while proactively identifying and mitigating regulatory risks.
The Compliance Manager role oversees all areas of compliance, including ensuring the business meets it obligations under data protection and financial crime legislation. The role works closely with the Principal and advisors to embed a culture of good conduct and continuous improvement. It requires strategic thinking, strong stakeholder management skills, and the confidence to challenge and influence at all levels of the organisation.
Primary Responsibilities
1. Lead the second line oversight function, providing independent assurance on conduct risk and regulatory compliance across the firm.
2. Act as the subject matter expert on all FCA-related regulations, including the Consumer Duty, Mortgage Conduct of Business (MCOB), and other relevant regulatory frameworks.
3. Develop, implement, and maintain the Compliance Monitoring Plan, ensuring it remains risk-based, up to date, and proportionate to business activities.
4. Provide challenge and oversight to first-line activities to ensure that customer outcomes, regulatory expectations, and internal conduct standards are met.
5. Advise senior management and the Board on emerging regulatory risks, compliance performance, and developments in the regulatory landscape.
6. Lead the preparation for and management of regulatory interactions, including FCA visits, thematic reviews, and data submissions.
7. Own and maintain key compliance policies and frameworks, ensuring they are communicated and embedded effectively across the business.
8. Support the development of a strong conduct risk culture by delivering training, guidance, and awareness across teams and business functions.
9. Monitor and interpret regulatory developments, ensuring timely communication of key changes and implementation of required actions.
10. Oversee and manage conduct and compliance-related incidents, breaches, and complaints, ensuring root cause analysis and remedial actions are completed.
11. Carryout the duties of a compliance officer including all related anti-money laundering and financial crime monitoring and reporting.
12. Oversee Mandatory training and development.
If you are passionate about ensuring compliance excellence and want to make a significant impact in our organisation, we invite you to apply for our Compliance Manager vacancy today and join us at Capital Finance!
Job Types: Full-time, Permanent
Pay: £36,000 per annum
Education:
Experience:
Work Location: Remote