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- Tasks: Support compliance by processing requests, investigating breaches, and educating staff on regulations.
- Company: Join a leading financial services firm that values compliance and client outcomes.
- Benefits: Enjoy hybrid working with 3 days in the office and a supportive team environment.
- Why this job: Make a real impact in a role that blends regulation, education, and influence.
- Qualifications: 1 year of retail compliance experience and strong knowledge of FCA regulations required.
- Other info: Ideal for those looking to grow in a collaborative and dynamic setting.
The predicted salary is between 36000 - 60000 £ per year.
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).
Key Responsibilities- 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)
- 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 role is based in the Rochester, Kent office and follows a hybrid working model of 3 days in-office per week after successful completion of the probation period. 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 you’re looking to make an impact in a role that combines regulation, education and influence, we’d love to hear from you.
Contact Detail:
Auxeris Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Familiarise yourself with FCA regulations and compliance frameworks. Understanding the specific regulations that govern the financial services sector will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field. Attend industry events or join relevant online forums to connect with others who work in compliance. This can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've applied compliance knowledge. Think of examples from your previous roles where you successfully navigated regulatory challenges or improved compliance processes.
✨Tip Number 4
Showcase your communication skills during the interview. Since the role involves educating staff on regulations, be ready to explain complex compliance concepts in simple terms, demonstrating your ability to engage with various stakeholders.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in retail compliance, particularly any roles where you've dealt with FCA regulations. Use specific examples to demonstrate your skills in communication, stakeholder management, and problem-solving.
Craft a Compelling Cover Letter: In your cover letter, express your passion for compliance and how you can contribute to a culture focused on client outcomes. Mention your understanding of regulatory requirements and provide examples of how you've successfully navigated compliance challenges in the past.
Showcase Your Analytical Skills: Since the role requires strong investigative and analytical skills, include examples in your application that showcase your ability to conduct root cause analysis or monitor KYC due diligence. This will help demonstrate your fit for the position.
Highlight Your Attention to Detail: Given the importance of accuracy in compliance roles, emphasise your attention to detail in your application. You could mention specific instances where your meticulousness led to successful outcomes, such as reviewing marketing materials or drafting internal policies.
How to prepare for a job interview at Auxeris
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations and how they apply to the role. Brush up on key compliance concepts and be ready to discuss how you've applied these in previous roles.
✨Showcase Your Investigative Skills
Prepare examples of past experiences where you've successfully investigated compliance breaches or conducted root cause analyses. Highlight your analytical skills and how they contributed to positive outcomes.
✨Communicate Clearly
Since strong communication is crucial for this role, practice explaining complex regulatory concepts in simple terms. This will demonstrate your ability to educate staff and stakeholders effectively.
✨Demonstrate a Client-Centric Approach
Be ready to discuss how you've prioritised client outcomes in your previous roles. Share specific examples that illustrate your commitment to compliance and how it positively impacted clients.
