About the RoleAll potential candidates should read through the following details of this job with care before making an application.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 ProtectionProcessing Data Subject Access Requests (DSARs) in compliance with relevant regulations.Breach ManagementLogging and investigating breaches, including performing root cause analysis.Horizon ScanningMonitoring and reporting on regulatory changes affecting the business.Financial CrimeInvestigating referrals related to financial crime.Conducting Know Your Customer (KYC) due diligence and investigations.Financial PromotionsReviewing and approving marketing materials, websites, and presentations to ensure compliance with regulations.Regulatory ReportingAssisting in gathering information in response to requests from the regulator.CultureEducating employees on compliance, emphasizing client outcomes, and promoting a compliant culture.PoliciesCreating new and reviewing existing internal policies in line with current regulations.Management InformationGathering data to demonstrate adherence to relevant regulations, including client outcomes.Thematic ReviewsSupporting the Thematic Review programme, depending on skills and experience.Senior Managers and Certification RegimeAdministering and maintaining the certification processes.ComplaintsProviding 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).
Job Title
Compliance Officer