Compliance Manager


A vacancy has arisen for a Compliance Manager, ideally based at our Skipton site but there is potential for some flexibility on location for the right person.

The Compliance Manager will provide an efficient, comprehensive and professional compliance service, supporting the senior management team and managing overall risk assessment for the business. This is a wide-ranging role, within which the job-holder must be able to multi-task, organise and prioritise to a high standard.


• Perform risk assessments to understand the level, significance and scope of risk
• Keep up to date with, and understand, relevant laws and regulations adhering to the FCA requirements (and other regulators as appropriate)
• Monitor compliance with laws, regulations and internal policies including Electronic Money, Payment Services, Money Laundering and GDPR
• Be the main business contact for day to day compliance issues
• Provide support and advice to prospective and current Clients on compliance related issues
• Ensure that your findings are recorded and followed up with management so that issues can be rectified
• Educate employees on not only the regulations but also the impact to the organisation if these are not complied with
• Investigate irregularities and non-compliance issues
• Report back to business functions on current risk and compliance performance
• Highlight or escalate areas of concern
• Contribute to robust and effective compliance controls within the organisation
• Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
• Review and compile Terms and Conditions to ensure compliance with regulatory requirements
• Review client agreements
• Assist in the gathering of internal information in response to regulatory requests
• Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects)
• Collaborate with other departments to create a culture of compliance. Support the review of, and ensure appropriate KYC and KYB processes are in place
• Support AML Audit
• Support PCI Audit
• Support to the Compliance Director


• Experience of working as a Compliance Officer or above
• Experience of Financial Services, FCA regulations, Payment Services, Anti Money Laundering regulations and a working knowledge of GDPR compliance
• Experience working within an EMI (Electronic Money Institution) or other issuing Payment Institution
• Knowledge of Card Issuing, with VISA and/or MasterCard experience
• General Banking experience eg. all types of Bank Transfers to include Faster Payments and SEPA
• Experience of risk assessment, analysis and non-compliance issues
• Strong administration experience and the ability to demonstrate a high level of accuracy and detail
• Microsoft Office, especially MS Word and MS Excel
• Excellent communication skills – oral and written
• Educated to Degree level or equivalent demonstrable experience

If you would like to apply for this role, please send your CV and covering letter to by 21/05/2018.
If you have not received a response to your application within 14 days, please assume you have not been successful on this occasion.



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