Senior Compliance Officer

4 weeks ago

Kent, United Kingdom ETRA Talent Full time

To assist and work with the Head of Compliance to implement risk assessments, compliance policies and procedures. Undertaking specified checks and controls to ensure that all departments are compliant with the appropriate regulations and procedures.

Be responsible for and support the Head of Compliance with the implementation of compliance policies and the regulator's rules, establishing adequate in-house controls and compliance procedures, thereby assuring continued authorisation by the regulators. Ensure compliance with related legislation.


Undertake checks to ensure that core controls are being followed, using system enquiries and reports, internal documentation and staff interviews to confirm that the firm is not exposed to undue risk.


  • Assist with the monitoring of regulatory breaches and manage the resolution of potential and actual incidents to achieve the optimum outcome for the business and the customer at all times, escalating as appropriate to the Head of Compliance.
  • Log receipt of FCA notices and good practice guidance, review to determine applicability and assist in advising procedural amendments required to managers responsible throughout the firm, while ensuring they are implemented.
  • In liaison with the Head of Compliance, ensure that clients’ complaints are reviewed, and appropriate action taken depending on whether they are indicative of procedural weakness or failure of internal controls.


Working with the Head of Compliance, assist in developing and increasing staff awareness and training of compliance policies and procedures.


  • Assist the Head of Compliance in all areas of compliance including preparing for any regulatory changes, ongoing monitoring and any ad hoc compliance projects.
  • Assist in the preparation of regulatory submissions.
  • Assist with ad hoc projects, not limited to but including new regulatory guidance, introduction and implementation.
  • Provide guidance and technical advice on compliance processes and systems to team members and assist with resolving problems where possible.
  • Provide regular updates to the Head of Compliance on levels of workload in the team, identifying potential areas of risk or a shortfall in performance. Deputise for the Head of Compliance when required and assist where possible, with any workload bottlenecks and emerging problems through continual reassessment of any changing circumstances, find resolution or escalate to Head of Compliance.
  • Actively maintain and update technical and regulatory knowledge to ensure ongoing compliance of processes and procedures for the company.
  • Promote a culture whereby the Consumer Duty principles and policies are diligently adhered to and observed. Provide guidance and training to the team to ensure they pro-actively act to deliver good outcomes for customers. Challenge the team and individuals to ensure their actions are compatible with delivering good customer outcomes and provide opportunity for feedback to identify and mitigate where good customer outcomes are not being delivered.
  • Knowledge and understanding of FCA regulations and procedures as well as awareness of best practice guidance within the financial services industry.
  • Proven experience in compliance or risk management
  • Proven experience in either compliance or financial industry with a good understanding of FCA & regulations governing investment/stockbroking business.
  • Experience/awareness of risk and controls procedures.
  • Excellent written and verbal communication skills.
  • Able to work quickly and accurately under pressure.
  • Able to prioritise and manage own workload with minimal supervision.
  • Good attention to detail with a logical mindset and a methodical approach to work.
  • Confident in the use of Microsoft office packages, Word & Excel.
  • Proven experience to mentor and manage junior members of staff.

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