Compliance Officer

A Compliance Officer is required by a mutual financial services provider to champion a culture of compliance throughout the business. This is a newly created role and its responsibilities will include:

• Communicating effectively with the FCA and keep the Board, management and staff informed, as necessary. 

• Adopt a proportional and pragmatic approach to the interpretation and implementation of regulation, in keeping with an organisation of their size 

• Raise awareness and provide an advisory role for regulatory aspects across the firm, ensuring best practice and compliance as required by the FCA and PRA 

• Perform risk assessments to understand the level, significance and scope of conduct risk in the organisation’s risk and compliance procedures 

• Define and review a conduct risk and compliance framework, including best practice guidance 

• Ensure that systems and controls are in place to record breaches and report material ones to the Financial Conduct Authority (FCA) as appropriate 

• Investigate all breaches and near breaches of all regulations and statutes and report material breaches in compliance as required as soon as reasonably practicable 

• Manage the AML policies and procedures and ensure the business is compliant

• Decide on the policy for the filing and retention of documents 

• Investigate and recommend any course of action following any client complaints 

• Provide guidance and recommendations on corrective actions or risk mitigation of potential issues 
in policies, systems and employee or Financial Advisor conduct 

• Be the relationship contact for the FCA and any other appropriate regulatory bodies 

You will be an experienced Compliance Officer with extensive Financial Services experience. Any previous experience of working in the mutual sector would be advantageous but is not essential. You will have a strong working knowledge of FCA regulatory requirements (PRA knowledge would also be desireable) and will also ideally have strong AML and Data Protection experience. You will have a demonstrable track record of CPD throughout your career and must have the ability to communicate effectively with staff at all levels within the organisation and with various external contacts.

We offer what we believe is the best Candidate Referral Scheme in the Midlands market. Refer a friend or colleague to us and receive up to £500 in cash if we assist them in securing a new role. Contact us for more details.


Salary:£70k - £80k + excellent benefits


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