FCA Compliance and Regulations Manager

Summary: This role as an FCA Compliance and Regulations Manager involves ensuring adherence to FCA regulations and providing compliance advice within a forward-thinking energy provider in the UK. The position includes performing audits, developing compliance strategies, and maintaining relationships with the FCA. It is a full-time, hybrid role based in Nottingham, with an initial six-month contract that may be extended.

Key Responsibilities:

• Lead the development and delivery of the compliance strategy to meet FCA and regulatory requirements.
• Conduct regular horizon scanning to monitor regulatory changes.
• Prepare and implement the annual monitoring plan, working with business, risk, and oversight teams, and report deficiencies to Senior Management.
• Maintain strong, transparent relationships with the FCA and manage all regulatory requests.
• Develop and execute an audit plan covering key FCA risk areas and conduct independent Compliance and Operational audits.
• Regularly review and update EEISL-specific policies.
• Assess and provide independent assurance on the effectiveness of first- and second-line risk management.
• Manage the collation, Senior Manager sign-off, and submission of regulatory reports and breach notifications to the FCA.
• Report compliance status, findings, and recommendations to senior management, the Board, and the Audit Committee.
• Review and approve AR financial promotions (e.g., websites, digital content) in line with FCA CONC guidelines.
• Drive business readiness for new FCA permissions.
• Conduct regular and ad-hoc audits of ARs to ensure regulatory and internal compliance and assess related risks.
• Develop and maintain QA frameworks and provide feedback to ARs.
• Review and approve annual FCA compliance training.
• Work proactively with the Chief of Staff team to resolve problems and deliver solutions.

Key Skills:

• Extensive experience on FCA-related matters.
• Strong problem-solver with a focus on effective execution.
• Builds trust and influence through impactful engagement.
• Clear communicator, adept at connecting with senior stakeholders.
• Highly collaborative, leveraging team strengths to drive results.
• Accountable decision-maker, committed to delivering outcomes.
• Growth-driven, constantly refining processes for continuous improvement.

Salary (Rate): undetermined

City: Nottingham

Country: United Kingdom

Working Arrangements: hybrid

IR35 Status: undetermined

Seniority Level: undetermined

Industry: Other