Compliance Officer

Job DescriptionCompliance Officer Location: Rochester, Kent Hybrid (3 days in office after probation)Role Overview:Working with both the Compliance Manager and Complaints Specialist, focussing on fostering a compliant culture, client outcome focus, and compliance with regulatory requirements, including data protection, breach management, financial crime investigation, and regulatory reporting.Key Responsibilities:Breach Management: Log, investigate, and analysebreaches.Horizon Scanning: Monitor and report on regulatory changes.Financial Promotions: Review marketing materials for compliance.Regulatory Reporting: Assist with regulatory requests.Policies: Create and review internal policies.Management Information: Gather data to demonstrate regulatory adherence.Thematic Reviews: Support thematic reviews as needed.Complaints Support: Log complaints and prepare files for the Ombudsman.Skills & Knowledge:Must Have:2+ years' compliance experiencePreferably worked in wealth management/financial planningStrong knowledge of FCA regulations and handbook (eg. COBS, SMCR, code of conduct etc)Desirable:ICA or similar compliance qualifications.Level 4 Diploma in Financial Planning.

Created: 2025-06-25