Compliance Officer

JR United Kingdom; England; On-site; GBP 35,000 - 50,000; Full time

Job summary

Join a growing financial planning firm as a Compliance Officer, where you will lead best practices and ensure regulatory compliance. This role involves supporting a culture of integrity, delivering regulatory guidance, and managing compliance processes, all while helping the firm scale confidently.

Qualifications

• 1 year of experience in retail compliance within financial services.
• Solid understanding of regulatory expectations.
• Practical mindset to interpret and apply regulations.

Responsibilities

• Deliver expert regulatory guidance across all functions.
• Conduct KYC due diligence reviews and compliance investigations.
• Manage data protection requests and compliance breaches.

Skills

Investigative skills

Analytical capabilities

Problem-solving

Understanding of FCA regulations

Job description

Step into a role where your insights shape culture, not just checklists. I am currently partnering with a growing financial planning firm seeking a Compliance Officer who’s ready to lead on best practice, challenge constructively, and keep regulatory integrity front and centre. You'll be trusted to advise, influence, and help the firm scale with confidence.

Key Responsibilities:

• Operate as part of the 2nd line Compliance function, supporting a culture of regulatory integrity and client-centric outcomes
• Deliver expert regulatory guidance and support across all business functions
• Manage and respond to data protection requests, including Data Subject Access Requests (DSARs)
• Log, investigate, and conduct root cause analysis of compliance breaches
• Perform horizon scanning to identify, monitor, and report on relevant regulatory developments
• Conduct KYC due diligence reviews and investigate referrals from business units
• Review and approve financial promotions, marketing collateral, and client-facing materials to ensure regulatory compliance
• Assist in the preparation and submission of regulatory reports and information requests
• Promote compliance awareness through staff engagement, training, and communications
• Develop, maintain, and review internal compliance policies in line with evolving regulatory requirements
• Compile and present Management Information (MI) to demonstrate compliance with applicable regulations and support client outcome monitoring
• Participate in thematic reviews, depending on skills and experience
• Oversee the administration of the Senior Managers & Certification Regime (SM&CR), including certification and associated governance processes

What You Bring:

• At least 1 year of experience in a retail compliance role within financial services
• Solid understanding of FCA regulations and regulatory expectations
• Strong focus on delivering positive client outcomes
• Practical, solution-oriented mindset with the ability to interpret and apply regulatory requirements effectively
• Well-developed investigative and decision-making skills, supported by sound judgment
• Strong analytical and problem-solving capabilities
• Skilled at translating complex regulatory concepts into clear, understandable guidance for diverse audiences

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Created on 27/06/2025 by JR United Kingdom