Compliance Specialist
Leeds (Hybrid / Office‑Based).
A well‑established financial services organisation is seeking a Compliance Specialist to provide risk‑based second‑line‑of‑defence (2LoD) monitoring and compliance support. This role ensures that business activities are carried out within the regulatory framework while embedding Consumer Duty principles and maintaining a strong culture of compliance and customer focus.
Responsibilities
* Support the development and implementation of the Compliance Plan through risk‑based monitoring and assurance activities.
* Conduct compliance audits and risk assessments to evaluate internal controls and identify emerging risks.
* Provide compliance advice and consultancy to business areas, promoting good conduct and customer outcomes.
* Support regulatory interactions, including visits, thematic reviews, and information requests.
* Prepare high‑quality reports and present findings to senior management, recommending control improvements.
Experience & Qualifications
* Level 4 Diploma in Financial Analysis (DipFA) qualified or working towards.
* Proven experience in a 2LoD compliance monitoring role within the financial services sector.
* Strong understanding of FCA regulations, conduct risk, and relevant handbooks (e.g., COBS, SYSC, T&C); awareness of data protection and financial crime frameworks.
* Up‑to‑date knowledge of the regulatory landscape and emerging industry risks.
Seniority Level
Not Applicable
Employment Type
Full‑time
Job Function
Finance
Industries
Investment Management
#J-18808-Ljbffr