Compliance Officer

Compliance Officer

Ref: 1389Monday 11 October 2021

Dependent on experience

Due to significant growth in mortgage lending and a strategy of expansion, our client, a niche and highly customer focused mortgage and savings provider, is looking to add to and strengthen their Compliance team with the addition of a Compliance Officer.

The main purpose of the role is to provide compliance support services to the company.


Key Responsibilities for the Compliance Officer

  • Responsible for carrying out compliance monitoring including thematic reviews in accordance with the annual Compliance Plan and assisting the Compliance Manager in carrying out his/her duties.
  • Approved to sign off Financial Promotions under FCA (MCOB and BCOBS) regulations.
  • Provide day to day compliance support to all business areas.
  • Undertake 2nd line monitoring to provide assurance of 1st line activities including but not limited to Training and Competence, Quality Assurance, and other operational business activities.
  • Assist in the development and completion of the annual compliance plan based on an analysis of the key areas of the business and key compliance risks
  • Ensure that all DSARs are handled in a timely, accurate manner ensuring the regulatory timeframes for responses are met whilst ensuring compliance with relevant legislation.
  • To check financial promotions, marketing, and non-marketing literature to ensure compliance with regulatory requirements and provide appropriate feedback and advice.
  • To carry out/ assist in the recording, monitoring, and reporting of all activities associated with Financial Crime (including AML/Terrorist financing and fraud).


Skills and experienced Required for the Compliance Officer

  • Previous experience in a similar role
  • Knowledge and experience of conducting compliance monitoring with particular attention to root cause analysis
  • Strong knowledge of FCA regulations and industry best practice including BOCBS, MOCOB, Complaints, Financial Promotions, Financial Crime including AML/CTF and Fraud and Data Protection Regulations.
  • General knowledge of the financial services industry and its operational activities


Whilst our clients head office is based in Dorset, they can offer a flexible approach to the working week i.e., can work remotely anywhere in the UK and offer flexible working hours.