Compliance Manager
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About the Role
FMPAY is a UK-based payments provider focused on helping small businesses handle transactions simply and securely. The company emphasizes clarity, reliability, and straightforward payment solutions tailored to the needs of growing businesses.
Key Skills for This Role
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Company Description
FMPAY is a UK-based payments provider focused on helping small businesses handle transactions simply and securely.
The company emphasizes clarity, reliability, and straightforward payment solutions tailored to the needs of growing businesses.
FMPAY is committed to building long-term partnerships by offering responsive, human support whenever clients need it.
Team members join a collaborative environment where practical problem-solving and customer trust are central to the mission.
This is an opportunity to contribute to a fintech organization that aims to make payments easier and safer for small businesses across the UK.
Compliance Manager
at FM Finance Ltd is a pivotal, mid-level operational role designed to ensure the seamless execution of our regulatory framework.
Reporting directly to the
Chief Compliance Officer
, you will act as the engine room of the department—balancing essential administrative oversight with practical, risk-based monitoring.
This is an ideal position for a detail-oriented professional who enjoys "getting under the hood" of financial regulations and ensuring that policies aren't just written, but effectively implemented across the business.
1. Regulatory Administration & Policy Management
- **Policy Maintenance:**
- Act as the custodian of the Compliance Policy Library, ensuring all documents are regularly reviewed, updated, and version-controlled.
- **Regulatory Mapping:**
- Assist in maintaining the firm’s regulatory obligations register, ensuring our internal controls align with current FCA/relevant body requirements.
- **Reporting:**
- Prepare management information (MI) and draft monthly compliance reports for the Head of Compliance to present to the Board.
2. Monitoring & Oversight
- **Risk-Based Monitoring:**
- Execute the Annual Compliance Monitoring Plan (CMP), performing thematic reviews and desk-based testing to identify potential gaps.
- **Third-Party Oversight:**
- Conduct initial and ongoing due diligence on external partners and vendors to ensure they meet FM Finance Ltd’s high compliance standards.
- **Remediation Tracking:**
- Monitor the progress of any identified compliance breaches or audit actions, ensuring the business brings them to a timely resolution.
3. Advisory & Support
- **Stakeholder Guidance:**
- Serve as a first point of contact for staff queries, providing clear and practical advice on day-to-day compliance matters.
- **Financial Crime & Data Protection:**
- Provide administrative support for AML (Anti-Money Laundering) and KYC (Know Your Customer) workflows, and assist in managing Subject Access Requests (SARs) or data privacy impact assessments.
- **Culture & Training:**
- Coordinate the rollout of mandatory compliance training and maintain records of staff completion.
4. General Administration & Governance
- **Workflow Coordination:**
- Organize departmental workflows and assist in delegating compliance-related tasks across various business units to ensure deadlines are met.
- **Governance Support:**
- Attend Board and Committee meetings to act as the primary minute-taker, ensuring accurate records of decisions, challenges, and action points.
- **Regulatory Research:**
- Conduct ad-hoc research into new legislative developments or industry best practices to support the Head of Compliance.
- **Statutory Filings:**
- Manage company administration via Companies House, ensuring all corporate filings, officer changes, and annual confirmations are submitted accurately and on time.
About You
- This role is tailored for a "doer"—someone who finds satisfaction in accuracy and organizational excellence.
- While you aren't expected to set the long-term strategy, you are expected to be the subject matter expert on how our processes function on the ground.
- **Experience:**
- Previous experience in a compliance or paralegal role within financial services.
- **Meticulous Nature:**
- You have an eagle eye for detail, particularly when reviewing legal documents or monitoring reports.
- **Communication:**
- You can translate complex regulatory "jargon" into simple, actionable steps for your colleagues in other departments.
- **Proactive Mindset:**
- You don’t just spot a problem; you bring a suggested solution to the Head of Compliance.
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