Compliance Officer

3 days ago

Bracknell, Bracknell Forest, United Kingdom Marc Daniels Full time
Compliance Officer Job Description

A leading financial services company is seeking an experienced Compliance Officer to join their team. As a key member of the compliance department, you will play a crucial role in ensuring the company meets its regulatory obligations and maintains a strong risk management culture.

Key Responsibilities:
  • Support the Compliance Manager in developing and implementing effective compliance strategies and procedures.
  • Provide expert regulatory advice and guidance to the business on compliance matters, including Consumer Duty, credit broking requirements, and Data Protection.
  • Conduct regular monitoring and testing activities to assess the effectiveness of regulatory and conduct risk control processes.
  • Produce written reports on monitoring outcomes, review findings, and action plans.
  • Review and support the business in logging breaches and incidents, ensuring accurate records are maintained.
  • Conduct root cause analysis on complaints, breaches, and incidents data to identify themes and emerging risks.
  • Assist in overseeing risk management activity at both departmental and business-wide levels.
  • Review and update applicable policies, processes, and procedures, overseeing their implementation as necessary.
  • Provide sign-off on marketing materials and customer communications in accordance with FCA rules and guidance.
  • Assist with the collation of risk and compliance Management Information (MI) for reporting to senior management and the Board.
Requirements:
  • Compliance, Risk, or relevant regulatory qualifications (ICA or similar).
  • Detailed technical knowledge of FCA Handbooks, legislative frameworks, and industry best practice standards.
  • Understanding of risk management principles and associated processes.
  • Strong up-to-date regulatory knowledge with the ability to interpret and assess regulatory rules and standards.
  • Previous experience working within a compliance and/or risk department of a FCA-regulated company, preferably in the financial services sector.
  • Practical understanding and experience of the FCA's expectations in relation to customer outcomes and treatment of vulnerable customers.
  • Involvement with compliance monitoring activities, carrying out testing and thematic reviews.

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