Job Description
Risk & Compliance Officer
5 days on site Based in London Blackfriars Paying up to £45k DOE
An established and growing professional services business is seeking an experienced Risk & Compliance Officer to join its expanding team. This is a role that offers the opportunity to shape and strengthen risk and compliance frameworks within a fast-paced, commercially driven environment.
The organisation provides specialist online resources, consultancy services and insurance-related solutions to professional clients. With continued organic growth and a strong leadership team in place, the business is investing in its governance and regulatory oversight capability.
The Role
Reporting into the Compliance Manager and working closely with senior stakeholders, you will take ownership of risk and compliance activity across the business. This role combines hands-on auditing and call monitoring responsibilities with broader oversight of regulatory compliance and risk management.
The successful candidate will ideally have a background in financial services and experience operating within a regulated environment.
A working knowledge of the regulatory framework of the Financial Conduct Authority is essential. Familiarity with regulatory considerations involving HM Revenue and Customs would be advantageous.
Key Responsibilities
* Audit end-to-end sales processes to ensure adherence to internal protocols, regulatory standards and insurance compliance requirements
* Conduct regular call listening and quality assessments to ensure regulatory and conduct standards are consistently met
* Oversee compliance across insurance-related activities from a regulatory perspective
* Manage and maintain the company's risk register, identifying emerging risks and ensuring appropriate mitigation strategies are in place
* Conduct internal compliance audits, particularly across sales and customer service functions
* Investigate compliance issues, identify trends and recommend corrective action
* Implement and monitor compliance controls, including spot checks across websites, communications and documentation
* Design, enhance and embed compliance policies and procedures aligned to business objectives
* Deliver training and guidance to managers to promote a strong compliance culture
About You
* Proven experience in a regulated financial services environment (insurance experience strongly preferred)
* Strong understanding of risk management principles and regulatory compliance
* Experience managing or maintaining a risk register
* Confident in auditing processes and conducting call quality reviews
* Highly organised with exceptional attention to detail
* Able to communicate clearly and provide constructive feedback at all levels
* Commercially aware, pragmatic and solutions-focused
* Demonstrates integrity, accountability and a proactive approach to continuous improvement
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