Compliance Officer
We are working with a well-established financial services organisation that prioritises a strong compliance culture and is committed to ensuring high standards of regulatory adherence and client outcomes. The business offers a supportive environment where compliance plays a central role in strategic and operational decision-making.
About the Role
This is a key role within the 2nd line Central Compliance function, responsible for providing day-to-day regulatory support and guidance across the business. The successful candidate will support the development of a culture centred around client outcomes and good conduct, working on a hybrid basis with 3 days a week in the Rochester office (following successful completion of the probation period).
Key Responsibilities
* Process Data Subject Access Requests (DSARs) in line with data protection regulations
* Investigate and log compliance breaches, including root cause analysis
* Conduct horizon scanning and report on relevant regulatory developments
* Investigate financial crime referrals and monitor KYC due diligence
* Review and approve marketing materials, website content, and presentations for regulatory compliance
* Support regulatory reporting through information collation for regulatory requests
* Promote a compliance-focused culture and educate staff on regulations and client outcomes
* Draft and review internal policies to ensure alignment with regulatory requirements
* Collect Management Information (MI) to evidence regulatory compliance and outcomes
* Support thematic reviews (depending on skills and experience)
* Assist with the administration of the Senior Managers and Certification Regime (SMCR)
Requirements
* At least 1 year of experience in a retail compliance role
* Sound knowledge of FCA regulations
* Strong communication and stakeholder management skills
* Proven focus on delivering positive client outcomes
* Practical understanding of applying regulation within a business setting
* Excellent investigative, analytical, and problem-solving skills
* High attention to detail and accuracy
* Well-organised and self-motivated with effective time management
* Ability to translate regulatory language into clear, understandable terms for staff at all levels
* Commitment to adhering to FCA principles and individual conduct rules (COCON)
This role is based in the Rochester, Kent office and follows a hybrid working model of 3 days in-office per week after successful completion of the probation period.
This is a great opportunity for someone with a strong foundation in retail compliance who is ready to take on broader responsibilities within a collaborative and supportive environment. If you're looking to make an impact in a role that combines regulation, education and influence, we’d love to hear from you.