Job Description

Summary of Role:

The Compliance Officer will provide day-to-day support to the Chief Compliance Officer (CCO) across all aspects of compliance administration. The role will focus on quality assurance, business process audits, monitoring tasks, and handling customer complaints. All actions and recommendations will be reviewed and signed off by the CCO.

Reports To:

Chief Compliance Officer

Key Responsibilities:

Compliance Administration & Monitoring

Assist in maintaining the Compliance Monitoring Framework by carrying out scheduled monitoring reviews and logging findings. Keep compliance records, logs, and trackers accurate and up to date to support audit trails and reporting. Assist in the preparation of compliance MI and reports for review by the CCO. Support horizon scanning by logging regulatory updates or industry news for CCO review. Assist in policy and procedure updates, ensuring staff are informed once approved by the CCO.

Quality Assurance & Auditing

Conduct QA checks on customer interactions (voice, digital, and self-serve), recording findings in line with QA procedures. Carry out business process audits and document results for review. Support the CCO with the preparation and delivery of QA packs or evidence for client audits, reviews, or reporting requests. Maintain records of QA outcomes, client QA responses, and follow-up actions. Highlight issues, errors, or risks to the CCO for decision-making and sign-off.

Complaints & Data Protection Requests

Log, acknowledge, and manage customer complaints, ensuring timescales are met. Draft complaint responses for review and sign-off by the CCO. Maintain the complaints register and track root causes. Support with Subject Access Requests and other data protection requests, ensuring statutory timelines are met.

Risk & Governance Support

Update risk registers with issues identified through QA, monitoring, or complaints. Log and track supplier due diligence information for review by the CCO. Assist in the upkeep of ISO-related records and evidence for audits.

Collaboration & Training

Liaise with operations, IT, and sales teams to gather compliance information or evidence when needed. Support the delivery of staff training by preparing materials and maintaining training records. Promote awareness of compliance policies and procedures across the business.

Requirements / Skills / Experience

1-3 years' experience in a compliance, quality assurance, or administrative role (financial services or collections preferred but not essential). Strong organisational and administrative skills, with attention to detail. Good understanding of FCA regulations, Consumer Duty, TCF, and complaints handling (preferred but not essential) Excellent IT skills, including MS Office (Word, Excel, PowerPoint). Strong written communication skills for drafting responses and reports. Ability to prioritise tasks, manage deadlines, and escalate issues appropriately. Proactive, reliable, and able to work independently under supervision.

Benefits

28,000-35,000, depending on experience. 28 days annual leave including bank holidays. Additional day annual leave for your birthday Flexible, hybrid working and working from home will be possible to fit around the business needs, once probationary period has been completed.

Equality and Diversity Statement

Everyone is afforded equal opportunities in recruitment, selection, promotion, and training. We will not discriminate on the protected characteristics of age, gender, gender reassignment, pregnancy, marital status or civil partnership, race, colour, ethnic or national origin, nationality, citizenship, disability, sexual orientation, religion, belief, or previous convictions (except for posts exempt under the Rehabilitation of Offenders Act). We will also not discriminate directly or indirectly on political beliefs or Trade Union activity.

Job Type: Full-time

Pay: 28,000.00-35,000.00 per year

Benefits:

On-site parking Work from home
Experience:

Quality assurance: 1 year (required)
Language:

English (required)
Work authorisation:

United Kingdom (required)
Willingness to travel:

25% (required)
Work Location: Hybrid remote in Halifax HX1 5ER