Compliance Officer

We’re looking for a Compliance Officer to join our clients Compliance team on a 12-month fixed-term contract to cover maternity leave. This role is an excellent opportunity to make a real impact in a regulated financial services environment.

As part of the second line of defence, you’ll play a key role in ensuring the business continues to meet regulatory expectations, with a strong focus on Consumer Duty and good customer outcomes.

Key Responsibilities:

• Assisting the Compliance Manager to ensure business is compliant with regulations.
• Promoting a positive compliance culture
• Provide the business with compliance advice and recommendations.
• Responsible for the organisation of compliance records, ensuring all compliance logs are kept up to date.
• Assist with the delivery of the Training & Competence Framework and Compliant Management Framework
• Compliance Monitoring activities in accordance with the annual plan
• Assisting business to maintain compliance and adherence to policies and procedures, highlighting risks and areas of improvement to Compliance Manager
• Assisting other members of the Compliance Department
• Other duties commensurate with the position

What We’re Looking For:

• Experience in a compliance or quality assurance role within an FCA-regulated firm (experience in investment platforms, stockbroking, or similar would be an advantage, but other regulated sectors will also be considered)

• Knowledge of compliance monitoring/testing methodologies

• Familiarity with the FCA Handbook (e.g. COBS, SYSC, CASS, MAR, Financial Crime, Consumer Duty)

• Awareness of AML legislation, JMLSG guidance, and financial crime prevention expectations

• Strong analytical and problem-solving skills with excellent attention to detail

• Confident communicator with the ability to influence and build effective relationships

Contract Details:

• 12-month fixed-term contract (maternity cover)

• Hybrid working model

• Start date: ideally September or October 2025, but flexibility is available