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Compliance Assurance Officer

  • Location: Lancashire
  • Salary: Up to £50,000 + Benefits per year
  • Job Type:Permanent

Posted about 1 month ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email:
  • Contact Phone: 0161 883 2747
  • Expiry Date: 29 November 2023
  • Job Ref: PC/11036(BL)

Our clients are an exciting, forward-thinking brand in financial services. They are looking for a Compliance Assurance Officer to support the growth of the business.

You will report directly into the Compliance Manager and be responsible for delivering the new Compliance Monitoring Plan, providing assurance to the Senior Leadership Team that systems and controls are robust and effective.

Role Responsibilities:

Delivery of the agreed Compliance Monitoring Plan

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.

Key Skills and Responsibilities:

Experience of working in an FCA regulated financial services business.

Ability to understand and interpret regulatory rules and guidance.

Knowledge of FCA regulatory requirements (particularly CONC and DISP) pertaining to the sale of consumer finance and/or general insurance

Knowledge of TCF and the NEW Consumer Duty is desirable.

Knowledge of data protection/GDPR

Proven ability to interpret regulatory requirements and communicate them effectively.

At least 3 years previous experience working in a Compliance Monitoring/Assurance role.

Track record of supporting businesses in a risk/compliance function.


Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.


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