FCA Regulatory & Risk Compliance Specialist

Odin Careers Ltd; Gateshead; Vor Ort; GBP 35.000 - 38.000; Vollzeit

Zusammenfassung

Odin Careers Ltd is seeking an experienced Compliance Officer to support the delivery of a risk-based compliance framework within an FCA-regulated financial services environment. Take ownership of day-to-day compliance matters, provide practical guidance across the business and help ensure regulatory obligations are met.

Work with the Head of Compliance and Audit to monitor compliance, manage complaints and regulatory risks, oversee appointed representatives and drive continuous improvement

Qualifikationen

• Substantial experience in a compliance, risk, governance or audit role within an FCA-regulated financial services business.
• Strong knowledge of UK financial services regulation and its practical application.
• Excellent analytical, investigative and problem-solving skills with sound judgement.
• Ability to interpret complex regulatory requirements and translate them into controls.
• Strong written and verbal communication skills and report writing ability.
• Experience carrying out compliance monitoring or assurance reviews.

Aufgaben

• Compliance monitoring: support a risk-based plan, audits and remedial actions.
• Regulatory risk: identify, investigate, record and escalate breaches.
• Complaints management: investigate and ensure fair outcomes and reporting.
• Consumer Duty: monitor implementation for good customer outcomes.
• Appointed representative oversight: onboarding, ongoing monitoring and reviews.
• Compliance advice: provide clear guidance to senior stakeholders.
• Policies and procedures: maintain FCA-aligned framework and records.
• Management information: produce reports on risks, breaches and trends.
• Governance and financial crime: support SM&CR and risk escalation.
• Continuous improvement: stay current with developments and contribute to projects.

Kenntnisse

Compliance monitoring

Regulatory knowledge

Stakeholder engagement

Analytical thinking

Investigation

Report writing

MS Word

MS Excel

MS Outlook

Ausbildung

Cert CII

Dip CII

ICA qualification

Jobbeschreibung

Odin Careers Ltd is seeking an experienced Compliance Officer to support the delivery of a risk-based compliance framework within an FCA-regulated financial services environment. Take ownership of day-to-day compliance matters, provide practical guidance across the business and help ensure regulatory obligations are met.

Work with the Head of Compliance and Audit to monitor compliance, manage complaints and regulatory risks, oversee appointed representatives and drive continuous improvement