Compliance Officer

About This Role

The Compliance Risk Officer works within the Compliance and Risk Department, reporting to the Deputy Head of Compliance. This role offers an excellent opportunity to gain specialist knowledge while supporting the Compliance Team, Deputy Head of Compliance, and Head of Compliance in achieving business and regulatory objectives.

Responsibilities

• Support the Deputy Head of Compliance and Head of Compliance on specific activities and projects as required
• Produce reports and returns, which may involve detailed research and analysis from within and outside the unit
• Undertake specific tasks within set terms of reference and defined processes
• Work with each department and business unit to provide support, advice, and guidance on appropriate compliance frameworks, policies, and procedures
• Facilitate the business in identifying, assessing, and managing compliance risk, meeting set standards and regulatory requirements
• Ensure all compliance principles, policies, and procedures are clearly defined and regulatory developments are proactively communicated
• Through regular and appropriate business involvement, ensure all compliance work is carried out to the required level of competence as set out by legal and regulatory requirements
• Comply with generally accepted principles of compliance and support the strategic operating requirements of the division
• Build and maintain effective working relationships with internal stakeholders
• Regularly review and keep up to date with changes in regulatory, legislative, and market practices that impact the business

Requirements

• Solid compliance experience within the financial services industry
• Proven experience of working in a multi-disciplined team across business units
• Strong understanding of all regulations that impact the business
• Strong analytical skills
• Ability to work on own initiative
• Ability to undertake a variety of analysis and maintain accuracy and quality
• Strong report writing skills
• Good attention to detail, adaptability, a keenness to learn, and accurate keyboard skills
• Good team player, capable of working in a fast-paced pressured environment
• Ability to build relationships effectively, both in the immediate team and wider business
• Proficient in Microsoft Excel, Outlook, and Word

Benefits

• Eligible for a discretionary performance-related annual bonus
• 10% of salary contributed to your pension, even if you do not contribute yourself
• 25 days' holiday plus bank holidays, increasing to 27 days after 2 years of service, and 29 days after 5 years