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Compliance Manager - Finance

  • Job
    Mid & Senior Level
  • Banking & Finance
  • London
  • Quick Apply


  • Strong working knowledge of the FCA's CONC, DISP, SYSC, PRIN, COCON handbooks and the requirements under the Senior Managers and Certification Regime requirements
  • 3-5 years of experience in financial services regulation or compliance
  • In-depth knowledge of FCA regulations and the authorization process for brokerage firms
  • Excellent project management and communication skills
  • Analytical mindset with strong attention to detail and accuracy
  • Experience in policy writing and implementation


  • Support the preparation and submission of the FCA application for brokerage authorization including all supporting senior manager and certified staff paperwork, ensuring all documentation is complete and accurate
  • Collaborate with various departments to gather necessary information and data for the application
  • Review and update company policies and procedures to ensure compliance with FCA requirements
  • Liaise with FCA representatives and address queries throughout the application process
  • Prepare regular progress reports for the Head of Compliance and CFO
  • Assist in developing a post-authorization compliance framework
  • Support the training of staff members on new policies and regulatory requirements
  • Contribute to the company's regulatory strategy in the context of its low carbon technology focus

Here to make a big green dent in the universe.

Founded Year

Mission & Purpose

We're on a mission to make a big green dent in the universe by building a truly sustainable energy system globally. That means making power greener, smarter, and more affordable for everyone. We put customers at the heart of everything we do: with always-fair prices, transparency and outrageous customer service. We drive system change: with transformative tech to make renewable energy the norm and end global reliance on fossil fuels. Octopus Energy Group is made up of 10 businesses spanning 6 countries across 3 continents, including: Octopus Energy Retail, Kraken Technologies, Octopus Energy Generation, Kraken Flex, Octopus Electric Vehicles, and the Octopus Centre for Net Zero.