Compliance Officer

Responsibilities

• 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.
• 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. xwzovoh

Experience & Qualifications

• Level 4 DipFA Qualified or working towards
• Experience: Proven experience in a 2LoD compliance role within the financial services sector. – Happy to consider people moving from 1st line into 2nd line
• Knowledge: Strong understanding of FCA regulations, conduct risk, and relevant handbooks (e.g., COBS, SYSC, T&C)
• Up to date knowledge of the regulatory landscape and emerging industry risks

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