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Compliance Lead (projects and advisory)

The purpose of this role is to provide expert support to the business with the implementation of regulatory and legislative changes as well as provide advice on financial services regulatory and legislative requirements. The role includes tailoring the support to effectively engage with all levels of staff within the business and to be a point of assurance on all regulatory and legislative change.

Job Description

Key Accountabilities

  • Maintain key compliance registers such as the regulatory risk register, Data protection risk register, horizon scanning register, rules mapping register, FCA interactions log, policy index, regulatory policy and developments register, FLA attestation log, compliance training modules log
  • Produce regulatory development updates, in various formats, as required, for the business
  • Provide specialist compliance input, advice, support and rules interpretation to both line and project managers on projects and business developments in order that they meet regulatory requirements.
  • Represent Compliance at project team meetings and at other forums, including external forums where relevant.
  • Responsible for keeping the business updated on changes to legislation and regulation in order that policies remain up to date
  • Review and maintain compliance training before release to ensure this meets all regulatory and legislative requirements
  • Preparing and submitting applications to the FCA in respect of any changes to approved persons or the business or FCA requests for information
  • Support the business by providing training to Senior Management Functions on their responsibilities under the FCA’s code of conduct. Carrying out annual assessments of their fitness and propriety, carrying through any actions because of this
  • Build and maintain strong business relationship with the business key stakeholders

Skills & Competencies

  • Preferably competent in FCA - PRIN, FIT, PERG, SYSC, MCOB, COCON, COND, TC, MIPRU, CASS, SUP, FC
  • Project management skills with PRINCE 2 or equivalent an advantage
  • Pass internal competency tests post induction
  • At least 3 years in a similar financial services compliance role
  • Experience in and knowledge of navigating and interpreting the FCA handbook
  • Experience in and knowledge of navigating and interpreting the GDPR and DPA
  • Analysis of Management information

Knowledge & Qualifications

  • IT literate with advanced Excel and PowerPoint skills
  • Minimum of 5 GCSE’s grade C or above
  • Ideally Educated to degree standard
  • Ideally hold a full CeMAP, ICA or equivalent or studying towards
  • Ideally hold PRINCE 2 qualification or equivalent
  • Working for a lender or a brokerage is an advantage

Personal Attributes

  • Excellent communication skills
  • Excellent analytical skills
  • Resilient and flexible
  • Team Player across both the team and the company
  • Approachable and self- motivated
  • Willing to lead and take responsibility for their role output
  • Ability to analyse and present complex information in a clear, relevant, and interesting way

How these will be demonstrated in the role


Demonstrating: ability to work in a team and being committed to achieving a common goal; ability to work not only within one’s own department but across functions and the organisation in order to achieve goals; ability to persuade and influence others.


Demonstrating: a desire and drive for success; a determination to not only meet but exceed customer expectations and goals. Assuming full responsibility for the consequences of one’s behaviour or decisions. Completing work on time and within budget. Producing high quality work, with an attention to detail and accuracy, and in a compliant manner. Understanding one’s responsibilities, taking ownership of them and doing what is necessary to make them happen.

Customer focus

Focusing on the needs of individual customers and ensuring that we build our business around the customer. Using our experience and market knowledge to capitalise on opportunities and challenges; demonstrating a ‘will to win’ in the market through effectively managing risk. Developing solutions that enhance the organisation’s products, services and processes for the benefit of individual customers.


Demonstrating: moral judgement and character, honesty and leadership values; an understanding of right from wrong and puts into practice. Treating others, the way one would like to be treated, and demonstrates respect; confidentiality in the workplace.

Creativity/ Agility

Demonstrating: the ability to be creative, flexible, adaptable to change, highly responsive to business needs and acting decisively; ability and confidence to make timely decisions within the scope of responsibility. Able to modify one’s behaviour to achieve a goal, as well as being able to adapt and add value through change.

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