Are you an experienced compliance professional looking for a role where you can make a genuine impact on regulatory standards, risk management and customer outcomes?
We’re looking for a Compliance Officer to support the delivery of an effective, risk-based compliance framework within a regulated financial services environment. This is an opportunity to take ownership of day-to-day compliance matters, provide practical guidance across the business and help ensure regulatory obligations are met.
Working closely with the Head of Compliance and Audit, you’ll play a key role in monitoring compliance, managing complaints and regulatory risks, overseeing appointed representatives and supporting continuous improvement across the business.
The role
Your responsibilities will include:
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Compliance monitoring: Support the delivery of a risk-based monitoring plan, including file audits, thematic reviews, control testing and follow-up of remedial actions.
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Regulatory risk: Identify, investigate, record and escalate potential regulatory breaches, conduct issues and control failures.
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Complaints management: Investigate complaints and expressions of dissatisfaction, ensuring fair outcomes, appropriate responses, root-cause analysis and accurate reporting.
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Consumer Duty: Support the ongoing monitoring and implementation of Consumer Duty, with a focus on good customer outcomes, fair value, consumer understanding and vulnerable customers.
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Appointed representative oversight: Support onboarding, due diligence, ongoing monitoring, annual reviews and remediation, ensuring appointed representatives meet regulatory and contractual requirements.
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Compliance advice: Provide clear, proportionate guidance and constructive challenge to senior stakeholders and business teams.
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Policies and procedures: Help maintain the compliance framework, policies, registers and records in line with applicable FCA requirements.
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Management information: Produce regular compliance reports covering key risks, complaints, breaches, monitoring outcomes and emerging trends.
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Governance and financial crime: Support SM&CR requirements, Conduct Rules awareness and the identification and escalation of financial crime risks.
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Continuous improvement: Keep up to date with regulatory developments and contribute to wider compliance, risk, governance and audit projects.
About you
You’ll have substantial experience in a compliance, risk, governance or audit role within an FCA-regulated financial services business, with a good understanding of regulatory requirements and how to apply them in practice.
You’ll also bring:
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Experience conducting compliance monitoring or assurance reviews, managing issues through to resolution and producing management information.
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Strong knowledge of UK financial services regulation and a commitment to maintaining your professional development.
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The confidence to engage with senior stakeholders, provide constructive challenge and escalate concerns when necessary.
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Excellent analytical, investigative and problem-solving skills, with sound judgement and attention to detail.
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The ability to interpret complex regulatory requirements and translate them into practical, proportionate controls and advice.
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Strong written and verbal communication skills, including report writing and customer correspondence.
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Good working knowledge of Microsoft Word, Excel and Outlook.
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The ability to manage competing priorities, handle sensitive information and work both independently and collaboratively.
Desirable experience
It would be advantageous if you also have experience in any of the following:
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Overseeing appointed representatives or a regulated distribution network.
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General insurance and/or pure protection, including knowledge of ICOBS, PROD, DISP, SUP and CASS 5.
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Consumer Duty implementation and monitoring.
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Financial crime controls, regulatory engagement or SM&CR governance.
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Advanced Excel, data analysis, dashboards or compliance reporting systems.
A relevant compliance or financial services qualification, such as Cert CII, Dip CII or an ICA qualification, would also be beneficial, although equivalent relevant experience and a commitment to ongoing development are valued.
What’s on offer?
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Salary of £35,000–£38,000 per annum.
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Full-time, Monday to Friday working hours, 9am–5pm.
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The opportunity to work closely with the Head of Compliance and Audit.
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A varied role spanning regulatory compliance, risk, complaints, governance and monitoring.
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The opportunity to influence compliance standards, support good customer outcomes and contribute to the ongoing development of the compliance framework.
Interested?
If you have a solid background in financial services compliance and are looking for a role where your judgement, expertise and attention to detail can make a difference, we’d be keen to hear from you.
Apply today to find out more about this opportunity
