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Senior Compliance Officer

  • Location: Derbyshire
  • Salary: £Competitive Salary
  • Job Type:Permanent

Posted 3 months ago

  • Sector: Compliance
  • Contact: Paul Sherlock
  • Contact Email: Paul Sherlock
  • Expiry Date: 29 May 2021
  • Job Ref: PS/17437

Our client is a well-known Financial Services business that specialises in pensions. An excellent opportunity has

arisen to join the business in the role of a Senior Compliance Officer. You will support the Head of Risk & Compliance on all aspects of Compliance across the firm and play an important role in the development of the function, bringing fresh thinking, best practice and appropriate challenge, contributing to the growth and future success of the organisation.

Key responsibilities include:

  • To further develop and embed the compliance framework, developing a positive compliance culture;
  • Develop the risk-based compliance monitoring plan, to ensure that business activities comply with relevant legislation and regulation, discussing findings/recommendations for changes stakeholders, and supporting the implementation of any required changes;
  • Responsible for ensuring that all work is carried out to a high standard and completed in a timely manner;
  • Produce management information to a high standard by the required timeframe for submission to the relevant Committee and/or Board;
  • Oversee that all compliance related policies are reviewed and approved on at least an annual basis;
  • Keep own knowledge up to date on legal and regulatory changes and support any relevant training initiatives;
  • Working with the Legal and Regulatory Change group to ensure that the business is compliant with all regulatory and statutory requirements, assessing the impact and raising awareness with the business teams and other stakeholders;
  • Provide regulatory input to proposed projects and business activities;
  • As part of the Risk and Compliance team, act as a central point of reference, deal with complex cases and provide advice on regulatory compliance matters;
  • Provide support to induction and other training including supporting new or updated corporate/internal policies;

The Person:

  • Proven ability of understanding compliance and risk requirements
  • Experience within an FCA regulated environment (Pensions knowledge would be an advantage)
  • Strong analytical skills
  • Able to produce output to high standard within a specific timeframe
  • Experience of producing and delivering MI to senior management
  • Ability to use own initiative and consider the wider implications
  • Excellent verbal and written communication/interpersonal skills, administration skills and organisation/planning skills


Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.