Senior Compliance Officer

  • Location


  • Discipline:


  • Job type:


  • Salary:

    c. £45,000 + Excellent benefits

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    about 1 year ago

Our client is a well-known Financial Services business that specialises in pensions. A new Risk & Compliance function is being created and 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:

  • Work with the Head of Risk and Compliance to develop the risk management framework, ensuring that it remains up to date and aligned to strategic objectives
  • Respond to actual and potential Compliance events
  • Create a risk monitoring plan and conduct the monitoring and process controls
  • Produce management information to a high standard by the required timeframe for submission to the relevant Committee
  • Working with all business areas to develop and maintain policy and documentation relating to Compliance
  • Responsible for ensuring that all work is carried out to a high standard and completed in a timely manner
  • 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 all regulatory and statutory requirements are implemented in Member Services
  • Provide pro-active challenge and opinion 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 matter
  • 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.