Regulatory Compliance Officer

  • Location

    Cheshire West and Chester

  • Discipline:


  • Salary:

    £26,000 - £28,000

  • Email:


  • Job ref:


  • Published:

    about 3 years ago

Our client is a leading retail bank who are currently recruiting for a Regulatory Compliance Officer. The role is responsible for ensuring that the Bank operates within a compliant and controlled risk environment.

Key Responsibilities:

  • Responsible for ensuring the Bank’s systems and Controls meet or exceed required regulatory compliance standards.
  • Assist with regulatory filings with the FCA and other regulators as required. Maintain the Firm’s FCA Approved Persons Registrations.
  • Providing assistance in preparation for External/Internal Audits/Client Visits.
  • Organisation and maintenance of Compliance documentation.
  • Monitor  and  review  regulatory  changes  from  the  PRA/FCA  and  other  relevant regulators, perform initial gap analysis and help implement and changes where necessary.
  • Help monitor, coordinate and manage the work conducted by the Risk & Compliance teams.
  • Produce reports to the senior management of the firm relating to the effectiveness of regulatory compliance as directed by the Risk and compliance Director.
  • Manage compliance/contingency/risk issues within own area of control and for the Bank.
  • Provide advice on regulatory issues on areas of responsibility to all areas of the Bank’s business.
  • Monitor adherence to the firm’s compliance with regulations as directed by the Risk and compliance Director.
  • Arrange, administer and ensure that all staff have appropriate training in relation to regulatory compliance.


Key Requirements:        

  • Able to demonstrate knowledge in the core areas of regulatory compliance gained with a financial services organisation.
  • Strong communication skills
  • Strong planning and organising skills.