Compliance Officer

  • Location


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  • Salary:

    £25,000 – 30,000

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  • Published:

    about 2 years ago

Financial Services business, located in the West Midlands, are looking to hire a Compliance Officer to join their Compliance & Risk division.  The location is easily commutable from all areas to include Birmingham, Wolverhampton, Walsall, West Brom, Dudley and Stourbridge.


Key responsibilities include:

  • Work with departments to embed the Compliance Framework, updating policy statements, investigating MPPI complaints, creating reports for the Executive Compliance Committee and the Audit & Compliance Committee.
  • Complete compliance tasks, including compliance monitoring and quality assurance reviews as allocated, managing and prioritising own workload to ensure that work is completed within the specified timeframe.
  • Have an understanding of the regulatory framework in which the business operates.
  • Able to review regulatory publications and assess the impact to the business and update various documents as required.
  • Review and approve marketing literature, adverts and other marketing material, to ensure compliance with all associated regulations.
  • Carrying out anti-money laundering and financial crime reviews and daily transaction monitoring. Work with the MLRO to investigate any internal suspicious activity reports and report to National Crime Agency.
  • Operate within the General Data Protection Regulations, monitoring compliance with the regulations in relation to policies, procedures, the protection of personal data and staff training. Process Data Subject Access Requests.
  • Have a clear understanding of Operational Resilience, what constitutes an incident and the appropriate action to take when an incident occurs.
  • Able to complete work accurately, within the required timeframe to a high standard.
  • Perform any other compliance duties as requested.


The Person

  • Experience working in a compliance function.
  • Have an open and approachable manner and the ability to communicate and work alongside all departments promoting a good compliance culture.
  • Good written communications with attention to detail.
  • Ideally hold a relevant qualification e.g. Compliance Diploma, Institute of Risk Management Certificate or Certificate in Mortgage Advice and Practice (Ce-Map)