Compliance Officer

LSL Property Services; Metropolitan Borough of Solihull; Hybrid; GBP 25,000; Full time

Job summary

A leading financial services company in the UK is seeking a Compliance Officer to join their Compliance and Risk team. This hybrid role involves identifying regulatory developments, conducting research, and educating staff. The ideal candidate will have strong communication and research skills, and experience in regulated environments is desirable. The position is based at the Birmingham Business Park in Solihull, offering competitive salary and hybrid working conditions.

Responsibilities

• Identify new regulatory and legal developments through scanning.
• Conduct in-depth research on regulatory topics.
• Interpret regulatory requirements into actionable tasks.
• Draft communications to business owners about regulations.
• Engage with business areas for guidance on legal topics.
• Identify and mitigate risks.
• Review data for regulatory reporting.
• Prepare and submit regulatory reports accurately.
• Conduct annual risk assessments including AML & Fraud.
• Support project work requiring compliance input.
• Educate staff on regulatory topics.
• Respond to AR emails and calls.
• Support compliance monitoring activities as needed.

Skills

Good verbal and written communication skills

Strong research skills

Ability to work independently in a fast-paced environment

Good organisational skills

Attention to detail

Ability to influence key stakeholders at all levels

Experience of regulated environments

Experience of GDPR and financial crime requirements

Basic knowledge of the FCA Handbook

Basic understanding of the mortgage and insurance intermediary market

Job description

Job Locations

UK-Solihull

Job Profile

Compliance Officer Risk & Compliance

Part of LSL Property Services plc PRIMIS Mortgage Network are the largest Mortgage and Protection Network in the UK with some 1000 firms as business partners and circa 3000 advisors working alongside us. The FS division also includes TMA and Linear Financial Solutions.

We are keen to recruit a Compliance Officer (reporting to our Head of Compliance) to join our large and highly experienced Compliance and Risk team supporting LSLs Financial Services Division.

This role presents an exciting opportunity for an individual looking for an exciting entry level role into the world of Financial Services Compliance Regulation and Legal Requirements.

The role will be based partly out of our HQ site on the Birmingham Business Park in Solihull and partly Home Working (hybrid). We estimate no more than 1–2 days per week in the office but more whilst in training.

Main accountabilities

• Identify new and emerging regulatory and legal developments through regular horizon scanning
• Conduct in-depth research on regulatory and legal topics
• Interpret regulatory requirements into plain English and practical and pragmatic actions
• Draft written communications to first line business owners outlining the requirements the potential impact and recommended actions
• Engage with the first line business areas to provide guidance and challenge on regulatory and legal topics
• Identify risks and provide support to mitigate these risks
• Review and analyse data for regulatory reporting
• Prepare regulatory reports ensuring they are accurate and submitted in a timely manner
• Conduct annual risk assessments including but not limited to AML & Fraud
• Support on project related work requiring input or oversight
• Educate the business on regulatory and legal topics
• Respond to AR emails and telephone calls
• On an ad‑hoc basis support compliance monitoring activities to ensure timely delivery of the annual monitoring plan

Knowledge & Expertise

• Good verbal and written communication skills
• Strong research skills
• Ability to work independently in a fast‑paced environment
• Good organisational skills
• Attention to detail
• Ability to influence key stakeholders at all levels
• Experience of regulated environments ideally within Financial Services – desirable
• Experience of GDPR and financial crime requirements – desirable
• Basic knowledge of the FCA Handbook and regulatory framework governing mortgage protection and insurance, particularly the Appointed Representative Regime, Approved Persons, Consumer Duty and SM&CR – desirable.
• Basic understanding of the mortgage and insurance intermediary market – desirable

Salary

£25,000 Full Time

Based at the Birmingham Business Park in Solihull. We offer a hybrid model of remote working and office.

Application

If you are interested in applying for this position please forward your CV with covering letter in confidence to the in‑house recruitment function here at PRIMIS / LSL.

EEO Statement

We are an equal opportunity employer and value diversity at our company. We do not discriminate on your background or needs. If you require any adjustments to make the recruitment process easier please let us know.

LSL are dedicated to protecting your data. Our Recruitment Privacy Notice can be viewed on the LSL Careers website.

Required Experience

Unclear Seniority

Key Skills

Compliance Management, Risk Management, Financial Services, PCI, Banking, Cost Accounting Standards, Quality Systems, Research Experience, NIST Standards, Securities Law, SOX, ISO 27000