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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).
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