Senior Compliance Officer

  • Location


  • Discipline:

    Compliance, Risk Management

  • Job type:


  • Salary:


  • Consultant:


  • Email:

    Michael Ayres

  • Job ref:


  • Published:

    2 months ago

The primary focus is to provide assurance over the compliance of the business with FCA and Data Protection Act principles, ABI and JMLSG requirements.  Additionally, the role will require the candidate to provide enhanced and proactive support to business areas on FCA Compliance matters with the aim of further deepening awareness of FCA requirements throughout the business and enhancing Regulatory Risk control.


  • Undertake allocated Compliance Assurance reviews in line with the agreed plan to provide independent assurance to the Board over the compliance of the business with regulatory and legislative requirements inclusive of FCA and Data Protection, ensuring that regulatory risks are identified with a particular focus on the identification of potentially unfair customer outcomes
  • Contribute to the content of the Risk Universe and preparation of a risk based assurance plan, anticipating potential risks arising and providing objective input to the identification and prioritisation of assurance activity
  • identify risks or opportunities and engaging the business in formulating pragmatic, customer focussed  and commercial solutions that minimise the risks and maximise the opportunities
  • oversight of breach analysis and reporting ensuring that areas of risk are identified, communicated and managed on a timely and relevant basis with a particular focus on the identification of potentially unfair customer outcomes and trends
  • develop and maintain Compliance policies, guidelines and procedures which meet internal standards and applicable FCA requirements

Experience Required:

  • Detailed knowledge of Regulatory requirements affecting Life and Pensions, Insurance or Assurance
  • Knowledge and experience of systems and controls improvement, design and implementation
  • An understanding of auditing and/or compliance monitoring techniques.
  • Good knowledge of FCA rules, customer outcomes and regulations especially those applicable to a life assurance company
  • Good communicator at all levels and all communication styles, with proven influencing skills
  • Capable of managing potential conflicts of interest.
  • Problem solving and creative thinking

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.