Compliance Officer - Rochester Kent

Kinsei Talent; Rochester; Hybrid; Confidential; Full time

Job summary

A leading financial services organization seeks a Compliance Officer to enhance their compliance culture and regulatory adherence. The role involves supporting daily compliance operations and ensuring high standards in client outcomes. Suitable for candidates with a retail compliance background, it offers the chance to work in a collaborative environment with responsibilities that increase over time.

Qualifications

• 1+ year experience in retail compliance role.
• Knowledge of FCA regulations.
• Understanding of regulation applications in business.

Responsibilities

• Process and investigate compliance requests and breaches.
• Conduct regulatory horizon scanning and ensure compliance.
• Draft and review internal regulatory policies.

Skills

Communication

Stakeholder Management

Investigative Skills

Analytical Skills

Problem Solving

Attention to Detail

Time Management

Job description

We are working with a well-established financial services organisation that prioritises a strong compliance culture and is committed to ensuring high standards of regulatory adherence and client outcomes. The business offers a supportive environment where compliance plays a central role in strategic and operational decision-making.

This is a key role within the 2nd line Central Compliance function, responsible for providing day-to-day regulatory support and guidance across the business. The successful candidate will support the development of a culture centred around client outcomes and good conduct, working on a hybrid basis with 3 days a week in the Rochester office (following successful completion of the probation period).

Tasks

• Process Data Subject Access Requests (DSARs) in line with data protection regulations
• Investigate and log compliance breaches, including root cause analysis
• Conduct horizon scanning and report on relevant regulatory developments
• Investigate financial crime referrals and monitor KYC due diligence
• Review and approve marketing materials, website content, and presentations for regulatory compliance
• Support regulatory reporting through information collation for regulatory requests
• Promote a compliance-focused culture and educate staff on regulations and client outcomes
• Draft and review internal policies to ensure alignment with regulatory requirements
• Collect Management Information (MI) to evidence regulatory compliance and outcomes
• Support thematic reviews (depending on skills and experience)
• Assist with the administration of the Senior Managers and Certification Regime (SMCR)

Requirements

• At least 1 year of experience in a retail compliance role
• Sound knowledge of FCA regulations
• Strong communication and stakeholder management skills
• Proven focus on delivering positive client outcomes
• Practical understanding of applying regulation within a business setting
• Excellent investigative, analytical, and problem-solving skills
• High attention to detail and accuracy
• Well-organised and self-motivated with effective time management
• Ability to translate regulatory language into clear, understandable terms for staff at all levels
• Commitment to adhering to FCA principles and individual conduct rules (COCON)

This is a great opportunity for someone with a strong foundation in retail compliance who is ready to take on broader responsibilities within a collaborative and supportive environment. If you're looking to make an impact in a role that combines regulation, education, and influence, we’d love to hear from you.