Compliance Officer - Rochester Kent
Compliance Officer - Rochester Kent
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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 youre looking to make an impact in a role that combines regulation education and influence wed love to hear from you.
Employment Type
Full Time
