Job Description

Job Title

: Compliance Support Manager (Entry-Level)

Location

: Warwick - outskirts - Office based. Own transport required.

Salary

: Competitive + Benefits

Hours

: Full-time, Monday to Friday 9am -5pm (with 1 hour for lunch). Permanent.

Reporting To

: Head of Operations

About Us

Open Prepaid Funerals Limited is a UK FCA-regulated funeral plan provider committed to delivering good outcomes and fair-value plans to our customers. We put our customers and the independent funeral directors we work with at the heart of everything we do.

Established in 2003, the Company has gained a reputation for being transparent and providing simple products that people trust.

Due to the growing demands of the business, we are seeking a Compliance Support Manager to work with the Head of Operations, providing ongoing assurance that regulatory and compliance requirements of Open and the Introducer Appointed Representatives (IARs) we work with are met.

Role Overview

We are seeking someone who is customer-centric focused with an eye for detail who is keen to learn and apply FCA regulation. The individual must be able to use their initiative, work on their own or as part of a team and be able to learn quickly.

This is a broad role requiring the individual to carry out oversight and monitoring of our FCA approved IAR's, as well as identifying and supporting resolution of breaches of compliance. Strong administration, record-keeping and communication skills are essential to be successful in this role.

The role is suited to someone looking to join our Compliance team as an Entry-Level Compliance Support Manager. This is an exciting opportunity for a graduate or early-career professional to develop their skills within a regulated environment. You will support the Head of Operations in delivering regulatory obligations, maintaining our compliance framework, and promoting a culture of ethical conduct and accountability across the business.

Key Responsibilities

Process IAR applications, creating and maintaining internal records and systems. Conduct due diligence checks for all new IAR applications and periodic reviews to satisfy ongoing oversight and monitoring requirements. Support with the identification, logging and resolution of regulatory breaches. Assist in the review and implementation of internal policies and procedures to ensure ongoing FCA compliance. Complete and log outcomes of call review audits and other controls. Prepare internal reports, dashboards, and compliance updates for senior management and regulatory bodies. Support the Head of Operations to compile Regulatory Returns for submission to the FCA, including data gathering. Help with the logging and investigation of complaints and incidents. Log and maintain internal records for our financial promotions. Perform administrative tasks to support the smooth running of the Compliance function, including maintaining accurate records and registers (e.g., breaches, gifts & hospitality, complaints). Answering incoming calls/making outgoing calls from/to customers and funeral directors. Other tasks related to the operation of the business as required.

Skills & Qualifications

Essential:

Degree (or equivalent experience) in Economics, Law, Finance, Business, Risk Management or a related field. Strong written and verbal communication skills. Excellent attention to detail and a methodical approach to work. Keen interest in regulatory compliance and ethical business practices. Ability to handle sensitive information with discretion.

Desirable:

Some exposure to FCA regulatory principles (particularly relating to funeral plans or financial services). Familiarity with data protection, TCF, and financial crime prevention. Experience in a regulated business environment (e.g., internship or admin role in financial services). IT literate with working knowledge of Microsoft Office, especially Excel and Word.

What We Offer

Full training and mentoring from experienced compliance professionals. Career development opportunities within a growing FCA-regulated business. Support for professional qualifications (e.g., ICA, CISI, or other compliance-related certifications). A positive, supportive working environment focused on integrity and respect. 35 days holiday per year including statutory public holidays Free on-site parking Company pension Casual dress policy Cycle to work scheme

How to Apply

Please submit your CV and a brief cover letter outlining your interest in the role and how your background aligns with the responsibilities.

Deadline for applications: 6 June 2025

Job Types: Full-time, Permanent

Pay: 30,000.00-38,000.00 per year

Benefits:

Casual dress Company pension Cycle to work scheme Free parking Life insurance On-site parking
Schedule:

Monday to Friday
Work Location: In person

Application deadline: 06/06/2025