We’re looking for a Compliance Assurance Officer to join a leading financial services firm on a full‑time, permanent basis.
The Compliance Assurance Officer reports to the Head of Compliance and will help to deliver the Compliance Monitoring Plan, providing assurance to the Senior Leadership Team that systems and controls are robust and effective.
Please note, this role requires regular travel. The successful candidate will be expected to attend a local office once per week, as well as travel to other offices across the UK once a month, including occasional overnight stays of up to three nights.
Key Responsibilities
- Supporting with the design of the annual Compliance Monitoring Plan
- Delivery of the agreed Compliance Monitoring Plan
- Develop and maintain good relationships with stakeholders across business
- Keep up to date with various department processes
- Maintain knowledge of new and evolving regulatory compliance requirements and good practice
- Undertake monitoring activities as defined in the plan and support the team to deliver the planned activities
- Develop and maintain the compliance monitoring methodology
- Provide clear and accurate reports of findings to the Head of Compliance and key stakeholders
- Promote a positive compliance culture in all interactions
- Identify, report and monitor risk indicators to support the development of risk based monitoring
- Present findings to key stakeholders, providing recommendations in line with industry best practice and regulatory expectations
- Maintain positive stakeholder relationships across the business to identify risks and issues
- Carry out ad‑hoc duties as directed
What We’re Looking For
- Experience of working in an FCA regulated financial services business
- Experience of working in a retail environment – preferably Consumer credit/Consumer lending
- Proven ability to interpret regulatory requirements and communicate them effectively
- At least 2 years previous experience working in a 2Lod Compliance Monitoring/Assurance role
- Track record of supporting businesses in an FCA compliance function
- Excellent communication skills – precise and clear in written and verbal communication
- Strong influencing and negotiation skills
- Excellent attention to detail and accurate
- Ability to produce high quality reports for different audiences
- Ability to conduct root cause analysis, conduct trend analysis and offer solutions to identified problems
- Self‑motivated, persistent, diligent and enthusiastic
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