Compliance Professional

Marsden; England; On-site; GBP 45,000 - 60,000; Full time

Job summary

A financial services compliance firm in the United Kingdom seeks a compliance professional with 2-4+ years of experience. The role involves providing regulatory guidance, drafting internal compliance policies, and handling compliance queries autonomously. The ideal candidate is organized and able to manage competing priorities. Experience with the Appointed Representative regime and exposure to FCA Senior Management Functions is advantageous. The firm emphasizes a supportive and autonomous work environment.

Qualifications

• 2–4+ years of experience in financial services compliance.
• Ability to operate independently.
• Experience within the Appointed Representative regime is beneficial.

Responsibilities

• Provide regulatory and compliance guidance aligned to the FCA Handbook.
• Draft, maintain, and embed internal compliance policies (financial crime, conduct, conflicts, reporting).
• Handle day-to-day compliance queries with autonomy.
• Conduct monitoring, run compliance checks, and support risk mitigation.
• Educate internal stakeholders on compliance obligations.

Skills

Regulatory compliance guidance

Drafting internal compliance policies

Monitoring and risk mitigation

Autonomous handling of compliance queries

Organizational skills

Job description

About the role

Join a high-performing compliance function supporting a regulated financial services business, offering autonomy, ownership of compliance workstreams, and exposure to governance, financial crime frameworks, and internal policy embedding.

Ideal candidate

You’re a 2–4+ year experienced financial services compliance professional who can operate independently.

Experience within the Appointed Representative regime is highly beneficial.

Exposure to FCA Senior Management Functions support, monitoring, or financial crime policy rollout is an advantage. You’re pragmatic, organised, able to juggle competing priorities, and comfortable escalating material risks when required.

Responsibilities

• Provide regulatory and compliance guidance aligned to the FCA Handbook.
• Draft, maintain, and embed internal compliance policies (financial crime, conduct, conflicts, reporting).
• Handle day-to-day compliance queries with autonomy, escalating significant risks where appropriate.
• Conduct monitoring, run compliance checks, and support practical risk mitigation.
• Educate internal stakeholders on compliance obligations.

If this role is of interest to you, please click apply.