Compliance Officer

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    over 2 years ago

My client is part of an international financial services organisation that provides a variety of cash loans as well as other financial products.

They are currently seeking a compliance officer who will support the Compliance Policy and Advice Manager undertake a broad range of responsibilities to include; 


  • Review and sign off the following in a timely fashion and in adherence to the sign off process:
    • Financial promotions in a timely fashion;
    • Customer communications; and
    • Training material
  • Attend meetings and provide advice on allocated new and on-going projects, providing compliance guidance where required
  • Provide ongoing advice and guidance on day to day BAU issues relating to FCA, CCA, CMA and CRA matters.
  • Working with the wider business to administer and maintain the following key control documents that are owned by the compliance team:
    • Policy register;
    • Legal and regulatory communications registers;
    • Complaints assessment summary sheet; and
    • Data protection asset register.
  • Undertake daily review of ‘commandments’ and report as appropriate to key stakeholders.  
  • Ensuring adequate records are maintained for all activities carried out.
  • Collating data required to complete regulatory and internal reports as and when required.
  • Model and ensure the day-to-day delivery of the six defined fair customer outcomes across all business functions.
  • Maintain awareness of and ensure compliance with policies and procedures across all business functions.

Key Requirements:           

  • Suitable skills and knowledge demonstrated through similar previous experience within a financial service regulated environment
  • Knowledge and Experience of the UK regulatory regime and rules applicable to the Consumer Finance sector (CONC)
  • (Desirable) Knowledge and experience of implementing ICO and GDPR requirements and rules
  • Strong literacy and numeracy skills and strong skills in use of Microsoft Word, Excel and Powerpoint
  • Strong communication, organisational and prioritisation skills