Compliance Officer

Job Description

About the Role

As part of our client's 2nd line Compliance function, the Compliance Officer will provide regulatory support and guidance to the business, ensuring a client-outcome focused and compliant culture. This is a key role within the compliance team, responsible for various tasks related to regulatory reporting, financial crime, breach management, data protection and more.

Responsibilities:

Data Protection

• Processing Data Subject Access Requests (DSARs) in compliance with relevant regulations.

Breach Management

• Logging and investigating breaches, including performing root cause analysis.

Horizon Scanning

• Monitoring and reporting on regulatory changes affecting the business.

Financial Crime

• Investigating referrals related to financial crime.
• Conducting Know Your Customer (KYC) due diligence and investigations.

Financial Promotions

• Reviewing and approving marketing materials, websites, and presentations to ensure compliance with regulations.

Regulatory Reporting

• Assisting in gathering information in response to requests from the regulator.

Culture

• Educating employees on compliance, emphasizing client outcomes, and promoting a compliant culture.

Policies

• Creating new and reviewing existing internal policies in line with current regulations.

Management Information

• Gathering data to demonstrate adherence to relevant regulations, including client outcomes.

Thematic Reviews

• Supporting the Thematic Review programme, depending on skills and experience.

Senior Managers and Certification Regime

• Administering and maintaining the certification processes.

Complaints

• Providing support to the Complaints SME.
• Logging complaints, preparing acknowledgment and update letters.
• Preparing business files prior to submission to the Financial Ombudsman Service.

Qualifications:

• A minimum of 2 years’ experience in a Compliance role, ideally within a Wealth Management/Financial Planning environment.
• Good knowledge of FCA regulations.
• Strong verbal, written, and interpersonal skills, with experience in stakeholder management.
• A strong focus on client outcomes.
• Pragmatic approach to compliance – understanding both the regulatory framework and its practical implementation.
• Strong investigative skills and the ability to quantify decision-making processes.
• High accuracy, attention to detail, and analytical thinking.
• Strong organizational and time management skills.
• Ability to explain complex regulations clearly to all levels of staff.

Preferred Skills:

• Experience in Pensions.
• Experience with thematic or targeted reviews.
• ICA or similar compliance qualifications.
• Level 4 Diploma in Financial Planning.
• A minimum of 2 years’ experience in a Compliance role, ideally within a Wealth Management/Financial Planning environment.
• Good knowledge of FCA regulations.

Hybrid opportunity (3 days in office following successful probation period).

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