Manager – Compliance Program

This position plays a central role within the UK Compliance function, supporting leadership in the planning, coordination, and execution of key compliance activities across the UK and Europe. The role is responsible for ensuring that compliance priorities are clearly defined, translated into structured plans, and effectively delivered by the UK and wider European Compliance team. It also oversees critical processes such as compliance reporting, training programs, and regulatory submissions. Additionally, this role acts as a central point of coordination across the UK and European Compliance teams, ensuring outputs are timely, consistent, and meet the standards required for senior management, governance bodies, and regulatory authorities.

1. Compliance planning and management

• Support the Director, Compliance Program in defining and prioritising the Compliance agenda.
• Translate priorities into a structured Annual Compliance Plan, with defined ownership and timelines.
• Track progress against the Compliance Plan, including identification and escalation of risks, delays, and dependencies.
• Maintain oversight of key Compliance initiatives, ensuring coordination across teams and alignment with broader regulatory priorities.

2. Compliance reporting

• Own the end-to-end process for UK Compliance reporting.
• Work with a graduate trainee to:
• Collate and review inputs through centralised reporting tool
• Challenge and refine submissions from stakeholders
• Produce clear, concise and board-ready reporting outputs
• Leverage technology, including AI-enabled tools, to improve consistency, clarity, and efficiency of reporting.
• Ensure reporting reflects key risk themes and is aligned to senior management expectations.

3. Regulatory

• Coordinate and submit regulatory reports and notifications to UK, EU, and North American regulators.
• Manage relevant interactions with regulators including making submissions.
• Ensure regulatory communications are accurate, complete, and delivered in a timely manner.
• Maintain FCA Connect permissions.

4. Compliance training

• Coordinate the UK Compliance training program.
• Support the Director, Compliance Program in:
• Annual training planning
• Scheduling and execution of training activities
• Co-ordinating training with Europe Compliance Advisory and other stakeholders
• Draft and update training materials
• Ensure content reflects current regulatory requirements and internal priorities
• Deliver or support delivery of Compliance induction training as required.

5. Core Compliance

• Oversee maintenance of key Compliance registers (including breaches and conflicts of interest).
• Track audit and Compliance findings, ensuring progress is monitored and reported.
• Support Personal Account Dealing processes, including liaison with the Control Room.
• Provide back-up support to core monitoring activities (e.g. e-communications, voice surveillance) as required.

6. Stakeholder management

• Act as a central point of contact for core Compliance processes.
• Build effective working relationships across:
• Compliance Advisory teams
• Front Office
• Control functions and global stakeholders
• Facilitate coordination across teams to deliver consistent and high-quality outputs.

7. Technology, automation and data capability

• Leverage technology to enhance the efficiency, quality, and consistency of Compliance processes and outputs.
• Use advanced Microsoft Office capabilities (Excel, PowerPoint, Word) to produce high-quality materials, including structured reporting, dashboards, and organisational charts.
• Utilise data and visualisation tools (e.g. Power BI) to support reporting, analysis, and insight generation where appropriate.
• Apply AI tools to improve productivity across key activities (including reporting, drafting, and data analysis), ensuring outputs remain accurate and appropriate for governance and regulatory use.
• Identify and implement opportunities to automate and streamline processes across the Compliance function.
• Promote the effective use of AI and automation within the team, including supporting colleagues in adopting these tools and embedding improved ways of working.

8. Projects and continuous improvement

• Contribute to global and regional Compliance initiatives.
• Identify opportunities to improve processes, reporting, and efficiency (including use of AI and other technology).
• Support standardisation and continuous improvement across Compliance activities.

Experience & Capability

1. Technical / Regulatory

• Strong understanding of UK regulatory framework (FCA and PRA) and broader regulatory environment.
• Experience in Compliance, Risk, Audit, or Controls within a financial services environment.
• Familiarity with governance, regulatory reporting, and internal control frameworks.

2. Technology, automation and data capability

• Advanced proficiency in Microsoft Office (Excel, PowerPoint, Word), with the ability to produce high-quality, structured outputs including complex presentations, dashboards, and organisational charts.
• Experience working with data and visualisation tools (e.g. Power BI) to support reporting, analysis, and insight generation.
• Demonstrated ability to leverage AI tools to improve efficiency and consistency of outputs (e.g. reporting, drafting, data analysis).
• Actively identify opportunities to automate and streamline processes across Compliance activities.
• Promote adoption of AI and automation within the wider Compliance team, including supporting colleagues in the effective use of these tools.

3. Program and delivery

• Demonstrated ability to coordinate complex processes involving multiple stakeholders.
• Experience translating priorities into structured plans and tracking delivery.
• Strong organisational skills and attention to detail.

4. Communication and stakeholder management

• Strong written communication skills, with the ability to produce clear, concise, board-level materials.
• Ability to review, challenge, and refine inputs from stakeholders.
• Proven ability to build relationships across a range of seniority levels.

5. Behavioural

• Proactive, structured, and delivery-focused.
• Strong problem-solving capability and ability to work independently.
• Comfortable operating in a fast-paced and evolving environment.
• Set and maintain standards for the program and reporting across the team.

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