Compliance Officer

Compliance Officer

Ref: 1330Thursday 15 July 2021

£dependent on experience

Do you want a new job in a supportive and employee focussed organisation? One that is financially secure on the back of a record breaking 2020 with a clear plan on what the future is going to look like for their staff? Working for a Mutual is quite different to the ‘normal’ world of Financial Services with the customer truly at the heart of everything they do, they treat their staff with the same importance. Our client is looking for a Compliance Officer to support the Compliance Manager and the Risk and Compliance Executive in ensuring statutory, regulatory and relevant Code compliance for designated functions.

If all the above makes you think this could the role and employer for you, our client is looking for candidates with the following experience:


  • Previous experience in a similar role, for example, 2nd line oversight or internal audit.
  • Previous experience of working within a Financial Services environment.
  • Ability to interpret and implement regulation / legislation
  • Knowledge of FCA regulatory rules and guidance including BCOBS, MCOB, Complaints, Financial Promotions, Financial Crime and Data Protection Regulations.


The job itself is working as part of a tight knit team of 4, core responsibilities of the Compliance Officer include:


  • Assist with / carry out the development of plans, policies, procedures and systems to ensure the department achieves its objectives in relation to conduct risk and treating customers fairly, compliance with MCOB, ICOBS, BCOBS, AML / Fraud prevention, data security, data protection, complaints, health and safety, and any other relevant regulation.
  • Carry out, evidence and report on 2nd line Compliance monitoring activity and monitoring reviews, to ensure compliance with regulatory, statutory and procedural requirements in accordance with the agreed Compliance Monitoring Programme and to provide feedback to relevant Managers.
  • Providing oversight and review of work undertaken by the Compliance Support Officer(s) in respect of the Compliance Monitoring Programme.
  • Interpret regulation / legislation in order to provide advice, support and guidance (as appropriate) to the Compliance team and to the wider business, including in respect of relevant Projects.
  • Ensure that regulatory requirements in respect of Anti Money Laundering (AML) and Countering Terrorist Financing (CTF) are complied with.
  • Carry out / assist in the recording, monitoring and reporting of all activities associated with Financial Crime (including AML / CTF and Fraud).
  • Check financial promotions, marketing and non-marketing literature to ensure compliance with regulatory and statutory requirements and provide appropriate feedback and advice to relevant staff.


Whilst most roles are working from home currently and will continue to do so until safe, there will be a permanent hybrid model going forward with a mix of office and home working for those who would like it.  If you are in a compliance support role within the financial services sector who wants to work for an employer who cares about their customers and the local community as well as its employees, then apply now.