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Compliance Officer

  • Location: Staffordshire
  • Salary: c.£50,000 + Benefits per year
  • Job Type:Permanent

Posted 27 days ago

  • Sector: Compliance
  • Contact: Sam Anderson
  • Contact Email:
  • Contact Phone: 0161 883 2765
  • Expiry Date: 04 March 2024
  • Job Ref: SA/11358

Compliance Officer

MERJE  Staffordshire, England, United Kingdom (Hybrid)


Our clients are an exciting, independently owned brand in financial services. They are looking for a Compliance Officer to support the growth of the business.

The Compliance Officer will be responsible for ensuring that the company complies with all regulatory requirements, reviewing and updating policies and procedures, providing compliance training, and conducting compliance audits.

In addition, the Compliance Officer will be responsible for monitoring and reporting on regulatory developments that impact the company.

Role Responsibilities:

  • Lead and implement all regulatory change projects relevant to the business

  • Complete all ongoing FCA reporting returns

  • Act as key liaison point for all FCA supervisory and thematic reviews and complete all associated plans

  • Complete file reviews for Mortgage and Investment Advisers and provide pre-approvals of high-risk advice, as per the requirement of the T&C scheme, providing detailed feedback to advisers where required and aid any identified development needs

  • Produce quarterly and annual compliance MI reporting to the directors

  • Manage the Compliance Monitoring plan for BMFS

  • Manage the Risk Register for BMFS

  • Oversight and management of the T&C scheme and all relevant documentation

  • Supervision of all regulated adviser roles, including oversight of trainee adviser development plans, annual adviser risk assessments, adviser knowledge assessments, CDP, KPI’s, and completion of half-yearly appraisals


Key Skills and Experience:

  • Compliance Management and Regulatory Compliance skills

  • Analytical Skills

  • Excellent Communication Skills - This role requires regular communication with clients and colleagues.

  • Finance Skills - A strong understanding of financial planning products and strategies is essential to this role.

  • Experience in the financial services industry - Experience in compliance or a regulatory role is desirable for this position

  • Level 4 Diploma qualification

  • A relevant degree or professional qualification - A degree in accounting, finance, law, economics or a related field will be beneficial for the role


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.

If you would like this job advertisement in an alternative format, please contact MERJE directly.