Compliance Officer
Direct message the job poster from Auxeris
About the Role
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 Protection
* Processing Data Subject Access Requests (DSARs) in compliance with relevant regulations.
* Logging and investigating breaches, including performing root cause analysis.
Horizon Scanning
* Monitoring and reporting on regulatory changes affecting the business.
* Investigating referrals related to financial crime.
* Conducting Know Your Customer (KYC) due diligence and investigations.
Financial Promotions
* Reviewing and approving marketing materials, websites, and presentations to ensure compliance with regulations.
Regulatory Reporting
* Assisting in gathering information in response to requests from the regulator.
Culture
* Educating employees on compliance, emphasizing client outcomes, and promoting a compliant culture.
* Creating new and reviewing existing internal policies in line with current regulations.
Management Information
* Gathering data to demonstrate adherence to relevant regulations, including client outcomes.
Thematic Reviews
* Supporting the Thematic Review programme, depending on skills and experience.
Senior Managers and Certification Regime
* Administering and maintaining the certification processes.
Complaints
* Providing 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.
* 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).
Seniority level
* Seniority level
Not Applicable
Employment type
* Employment type
Full-time
Job function
* Job function
Administrative
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