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Compliance Officer - Full-Time

£30,000 - £40,000

Working within this well-established team, you will be supporting the Manager with all aspects of regulatory compliance. This is a full-time involved and busy generalist role, assisting with implementing the Compliance Monitoring programme. Duties will include:

  • Design and perform regular monitoring and auditing
  • Design and complete audit reports and make recommendations
  • Review and draft company policies against relevant regulation
  • Report on compliance and quality matters, highlighting possible risks, making appropriate recommendations and implementing them
  • Provide, advice, training and support to the senior management team and staff regarding all compliance matters
  • Investigate complaints independently, promptly, fairly and in accordance with company policy and within regulatory guidelines
  • Log and investigate internally generated suspicious activity reports to determine the need to escalate externally
  • Complete third party due diligence checks
  • Log, review and respond to customer data requests
  • Perform regulatory risk assessments to understand risk level, significance, scope and make recommendations for mitigation
  • Perform gap analyses on proposed changes to regulation to identify gaps in policy or process

Benefits include contributory pension, private healthcare and death in service. Excellent support and training will be provided.

You must have relevant compliance experience and be able to work both independently and within a like-minded team.

If you are looking for a new challenge in a professional, highly regulated environment, call us or apply today!

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    • Design and complete audit reports and make recommendations
    • Review and draft company policies against relevant regulation
    • Report on compliance and quality matters, highlighting possible risks, making appropriate recommendations and implementing them
    • Provide, advice, training and support to the senior management team and staff regarding all compliance matters
    • Investigate complaints independently, promptly, fairly and in accordance with company policy and within regulatory guidelines
    • Log and investigate internally generated suspicious activity reports to determine the need to escalate externally
    • Complete third party due diligence checks
    • Log, review and respond to customer data requests
    • Perform regulatory risk assessments to understand risk level, significance, scope and make recommendations for mitigation
    • Perform gap analyses on proposed changes to regulation to identify gaps in policy or process

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