Compliance Officer

Core-Asset Consulting Ltd; Newcastle upon Tyne; On-site; GBP 40,000 - 56,000; Full time

Job summary

Core-Asset Consulting Ltd in Newcastle is recruiting a Compliance Officer to support the delivery of the compliance strategy, assess risks and regulatory developments, and help improve controls and processes.

You will interpret regulatory information, apply FCA requirements and SMCR responsibilities where applicable, and collaborate with stakeholders to foster a strong compliance culture through clear communication and robust organisation.

Qualifications

• Good knowledge of financial services regulation and compliance principles.
• Strong analytical and attention-to-detail skills.
• Ability to interpret regulatory information and apply it practically.
• Effective written and verbal communication skills.
• Strong organisational skills and the ability to manage competing priorities.
• Working knowledge of compliance tools and systems.
• Familiarity with SMCR requirements or willingness to develop this knowledge.
• Proactive approach to developing regulatory knowledge and expertise.

Responsibilities

• Support the delivery of compliance activities through efficient processes and systems.
• Assist with compliance-related metrics, reporting and tracking where required.
• Support regulatory horizon scanning by identifying and summarising regulatory developments.
• Contribute to assessments of business impact of regulatory developments and escalate changes.
• Support policy review and maintenance, coordinating inputs from stakeholders.
• Assist with monitoring, testing and assurance activities.
• Maintain compliance registers, logs and tracking tools including breaches and developments.
• Assist with interpretation and application of FCA requirements and SMCR responsibilities where applicable.
• Support compliance training and awareness activities.
• Act as a point of contact for routine compliance queries and escalate issues when needed.
• Contribute to development of a positive compliance culture across the organisation.

Skills

Regulatory knowledge

Analytical skills

Regulatory interpretation

Written & verbal communication

Organisational skills

Compliance tools & systems

SMCR knowledge

Proactive regulatory learning

Job description

Job Description:

Our client, a well-established financial services firm, has an exciting opportunity for a Compliance Officer based in their office in Newcastle.As a Compliance Officer, you will support the delivery of the Compliance strategy through a range of operational and analytical activities.You will contribute to the identification and assessment of compliance risks, regulatory developments and the ongoing improvement of compliance processes and controls.

Skills/Experience:

• Good knowledge of financial services regulation and compliance principles.
• Strong analytical and attention-to-detail skills.
• The ability to interpret regulatory information and apply it practically.
• Effective written and verbal communication skills.
• Strong organisational skills and the ability to manage competing priorities.
• Working knowledge of compliance tools and systems.
• Working knowledge of SMCR requirements, or the ability and willingness to develop this knowledge.
• A proactive approach and genuine willingness to develop regulatory knowledge and expertise.

Core Responsibilities:

• Supporting the effective delivery of compliance activities through efficient processes and systems.
• Assisting with compliance-related metrics, reporting and tracking where required.
• Supporting regulatory horizon scanning by identifying, tracking and summarising relevant regulatory developments.
• Contributing to assessments of the potential business impact of regulatory developments and escalating key changes for review and action.
• Supporting policy review and maintenance, including tracking required updates and coordinating input from relevant stakeholders.
• Assisting with monitoring, testing and assurance activities.
• Maintaining compliance registers, logs and tracking tools, including those relating to breaches and regulatory developments.
• Supporting the interpretation and application of relevant legal and regulatory frameworks, including FCA requirements and SMCR responsibilities where applicable.
• Supporting compliance training and awareness activities.
• Acting as a reliable point of contact for routine compliance queries.
• Escalating issues and findings in a timely manner.
• Contributing to the development of a positive compliance culture across the organisation.

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.