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Compliance Manager - Finance

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  • Job
    Full-time
    Mid & Senior Level
  • Banking & Finance
  • London

Requirements

  • 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

Responsibilities

  • 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

FAQs

What is the job title for this position?

The job title is Compliance Manager - Finance.

What is the duration of the contract for this role?

This is a 6-9 month fixed term contract.

What is the primary mission of Octopus Energy Services?

The primary mission is to drive the global renewable energy revolution and contribute to a transition to greener, cheaper energy.

What responsibilities will the Compliance Manager have regarding FCA applications?

The Compliance Manager will support the preparation and submission of the FCA application for brokerage authorization, collaborate with various departments for necessary information, ensure documentation is complete and accurate, liaise with FCA representatives, and prepare progress reports for the Head of Compliance and CFO.

What experience is required for this role?

Candidates should have 3-5 years of experience in financial services regulation or compliance.

What specific knowledge is necessary for this position?

Strong working knowledge of the FCA's CONC, DISP, SYSC, PRIN, COCON handbooks, as well as the requirements under the Senior Managers and Certification Regime are necessary.

What skills are emphasized for this Compliance Manager position?

Excellent project management and communication skills, an analytical mindset with strong attention to detail and accuracy, and experience in policy writing and implementation are emphasized.

Is there flexibility in the salary for this role?

Yes, there is flexibility in the salary, and prospective candidates are encouraged to discuss their experience during the initial recruitment process.

What kind of culture does Octopus Energy promote?

Octopus Energy promotes a unique culture that encourages learning, quick decision-making, autonomy, and collaboration among team members.

How does Octopus Energy address applicants with specific needs?

Octopus Energy is committed to ensuring that all candidates have the tools and environment needed to succeed, offering accommodations to customize the interview process as necessary for comfort and maximum effectiveness.

What is the company's stance on diversity and inclusion in the hiring process?

Octopus Energy is an equal opportunity employer and is committed to providing equal opportunities, an inclusive work environment, and fairness for everyone, without discrimination based on any protected attribute.

Here to make a big green dent in the universe.

Energy
Industry
501-1000
Employees
2015
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.

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