Job Description

We are a regulated financial brokerage seeking a diligent and proactive Compliance Officer to support the business in maintaining the highest standards of regulatory compliance. The successful candidate will ensure the firm operates in line with FCA requirements and data protection laws, providing oversight across broker agreements, appointed representatives, and key operational processes.

Key Responsibilities

Broker Agreements & Contracts:

Review and assess agreements with lenders to ensure contractual terms adequately protect the business.

Regulatory Oversight:

Interpret and apply the FCA regulatory framework to the firm's activities, ensuring compliance with applicable rules and guidance.

Appointed Representatives (ARs):

Oversee the onboarding and ongoing monitoring of ARs, including due diligence, supervision, providing clarification on queries and audits.

Policies & Procedures:

Draft, update, and implement compliance policies, ensuring documentation is clear, up-to-date, and aligned with FCA and GDPR requirements.

Auditing & Monitoring:

Conduct internal compliance audits and monitoring reviews to identify risks, gaps, and areas for improvement.

Complaints Handling:

Manage the complaints process from investigation through to resolution, in accordance with FCA DISP rules.

Regulatory Reporting:

Ensure timely and accurate submission of regulatory returns and notifications.

Document Control:

Maintain robust systems for document management, ensuring version control, accessibility, and compliance with data protection requirements.

Data Protection & GDPR:

Act as a point of expertise on GDPR and data protection issues, ensuring personal data is processed lawfully and securely across the business and breach data is actioned.

Training & Awareness:

Support business teams with compliance training, raising awareness of regulatory obligations and best practice.

Skills & Experience Required

Previous experience in a compliance role Strong knowledge of FCA rules, regulatory frameworks, and reporting requirements. Good understanding of GDPR and data protection best practices. Proven experience reviewing legal agreements and contracts. Excellent attention to detail and analytical skills. Strong communication and interpersonal skills, with the ability to challenge and influence stakeholders. Highly organised, with experience managing multiple priorities and deadlines. Familiarity with complaints handling processes
Job Type: Full-time

Pay: 40,000.00 per year

Benefits:

Company pension Life insurance On-site gym On-site parking Private medical insurance
Work Location: In person