Compliance Officer

Job DescriptionCompliance OfficerWe are working with a well-established financial services organisation that prioritises a strong compliance culture and is committed to ensuring high standards of regulatory adherence and client outcomes. The business offers a supportive environment where compliance plays a central role in strategic and operational decision-making.About the RoleThis is a key role within the 2nd line Central Compliance function, responsible for providing day-to-day regulatory support and guidance across the business. The successful candidate will support the development of a culture centred around client outcomes and good conduct, working on a hybrid basis with 3 days a week in the Rochester office (following successful completion of the probation period).Key Responsibilities Process Data Subject Access Requests (DSARs) in line with data protection regulations Investigate and log compliance breaches, including root cause analysis Conduct horizon scanning and report on relevant regulatory developments Investigate financial crime referrals and monitor KYC due diligence Review and approve marketing materials, website content, and presentations for regulatory compliance Support regulatory reporting through information collation for regulatory requests Promote a compliance-focused culture and educate staff on regulations and client outcomes Draft and review internal policies to ensure alignment with regulatory requirements Collect Management Information (MI) to evidence regulatory compliance and outcomes Support thematic reviews (depending on skills and experience) Assist with the administration of the Senior Managers and Certification Regime (SMCR)Requirements At least 1 year of experience in a retail compliance role Sound knowledge of FCA regulations Strong communication and stakeholder management skills Proven focus on delivering positive client outcomes Practical understanding of applying regulation within a business setting Excellent investigative, analytical, and problem-solving skills High attention to detail and accuracy Well-organised and self-motivated with effective time management Ability to translate regulatory language into clear, understandable terms for staff at all levels Commitment to adhering to FCA principles and individual conduct rules (COCON)This role is based in the Rochester, Kent office and follows a hybrid working model of 3 days in-office per week after successful completion of the probation period.This is a great opportunity for someone with a strong foundation in retail compliance who is ready to take on broader responsibilities within a collaborative and supportive environment. If you're looking to make an impact in a role that combines regulation, education and influence, wed love to hear from you.

Created: 2025-06-28