Job Description
Towcester - Office based
Are you someone who loves getting into the detail, improving how things work, and being the steady, trusted point of contact when things get complex? As this Financial business continues to scale, they’re looking for a hands-on Compliance Officer to bring structure, clarity and confidence to a growing compliance function.
This is a newly created role driven by growth — compliance queries have increased significantly as the broker network expands, and the business now needs a dedicated specialist to take ownership.
The opportunity
You’ll join a small, collaborative team and become the main compliance contact for internal teams, the FCA and the broker network. Reporting initially to both the Operations Director and Operations Lead as you get up to speed, the role quickly grows in autonomy once you understand the environment.
You’ll work closely with Operations and Sales, acting as a calm, practical partner who can gently challenge where needed and help the business stay organised, compliant and confident.
What you’ll be doing
Around 50% – Broker network support
* Onboarding brokers and supporting them with day-to-day compliance queries
* Acting as a key liaison with the FCA where relevant
* Providing timely, clear guidance and maintaining strong relationships
Around 20% – FCA reporting & audit prep
* Preparing FCA returns
* Supporting audit readiness and ensuring information is complete and accurate
Around 30% – Policies, documentation & general compliance
* Bringing structure and best practice to policies and procedures
* Tidying, organising and maintaining documentation as regulation evolves
* Handling general compliance questions across the business
* (Note: This is not a complaints-handling role; complaints volume is very low.)
What they’re looking for
They are open on background — you don’t need to come from financial services. What matters is your mindset:
* Bright, curious and commercially aware
* Strong with process, organisation and documentation
* Happy to roll up your sleeves and dig into queries
* Able to push back with warmth, humour and pragmatism
* Resilient, calm and approachable
* Comfortable with detail and comfortable investigating and working things out
Ideal candidates may come from any regulated, policy-heavy, process-driven or documentation-focused environment.
Progression & autonomy
Once established, you’ll take full ownership of compliance reporting, broker oversight, policies and ongoing process development. As the business grows, this role will grow with it — with real scope to shape how compliance operates.