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- Tasks: Join us as a Compliance Officer, supporting compliance monitoring and regulatory alignment.
- Company: We're a dynamic specialist financial services firm focused on risk management.
- Benefits: Enjoy flexible working options and a supportive team environment.
- Why this job: Gain diverse compliance experience while contributing to a culture of regulatory excellence.
- Qualifications: 1+ years in compliance, familiarity with FCA Handbook, and strong Excel skills required.
- Other info: Ideal for self-starters looking to advance their compliance career.
The predicted salary is between 36000 - 60000 £ per year.
Are you a compliance professional looking to broaden your experience in a generalist role? Do you want to work in a dynamic, fast-paced financial services environment where your work directly supports effective risk management and regulatory alignment?
If you’re detail-oriented, proactive, and looking for the next step in your compliance career — this could be the role for you.
Location: UK-based (with flexible working available)
Sector: Specialist Lending & Financial Services
Reporting to: Head of Compliance / Deputy Head
Team: No current direct reports
About the Role
We’re looking for a Compliance Officer to join our central Compliance function. This is a varied and hands-on position, supporting the delivery of the compliance monitoring plan, maintaining key registers, and contributing to the smooth operation of our control framework across multiple entities.
You’ll work across departments and have the opportunity to gain exposure to a broad range of compliance activity, from policy development and regulatory returns to complaints management and project support.
Key Responsibilities
- Maintain and update key compliance registers (regulatory risk, data protection, horizon scanning, policy index, FCA interactions log, etc.)
- Support the production of monthly and quarterly compliance reports
- Assist in the execution of the compliance monitoring programme
- Collaborate with internal teams and the Financial Ombudsman Service (FOS) on complex complaints
- Coordinate responses to Data Subject Access Requests (DSARs) and other regulatory/statutory requests
- Provide support on regulatory change and project initiatives
- Represent the Compliance function in internal and external meetings where appropriate
- Support the preparation and submission of FCA applications, notifications, and reports
What You’ll Need
- 1+ years' experience in a compliance or regulatory role within financial services
- Familiarity with the FCA Handbook (e.g. SYSC, MCOB, COCON, SUP)
- Working knowledge of GDPR and the Data Protection Act
- Confidence working with data and management information (MI)
- Strong Excel and PowerPoint skills
- Ability to clearly communicate technical compliance matters in a practical, business-friendly way
Qualifications & Desirables
- Educated to degree level (or equivalent professional experience)
- Compliance qualifications (e.g. CeMAP, ICA, or working towards)
- Previous experience in lending or mortgage brokerage is advantageous
- Ability to pass internal competency testing post-induction
Personal Attributes
- Strong communication and analytical skills
- Self-starter with a proactive, can-do attitude
- Team player – collaborative, approachable, and flexible
- Comfortable taking ownership and following through on tasks
- Able to present complex information in a clear and engaging way
Why Join?
This is a fantastic opportunity to work in a specialist financial services business where compliance plays a central role. You’ll be part of a supportive team that values professional development, collaboration, and regulatory excellence. Whether you’re looking to deepen your compliance skills or prepare for a more senior role in the future, this is a great step forward.
Contact Detail:
fs talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Familiarise yourself with the FCA Handbook, especially sections relevant to compliance roles like SYSC and MCOB. This knowledge will not only help you in interviews but also demonstrate your commitment to understanding the regulatory landscape.
✨Tip Number 2
Network with professionals in the financial services sector, particularly those in compliance roles. Attend industry events or join online forums to gain insights and potentially get referrals that could lead to job opportunities.
✨Tip Number 3
Showcase your analytical skills by preparing examples of how you've successfully managed compliance issues or contributed to regulatory projects in previous roles. Be ready to discuss these during any informal chats or interviews.
✨Tip Number 4
Research StudySmarter and understand our compliance culture and values. Tailor your conversations to reflect how your proactive attitude and team player mentality align with our mission, making you a perfect fit for the role.
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 compliance or regulatory roles within financial services. Emphasise your familiarity with the FCA Handbook and any compliance qualifications you hold.
Craft a Compelling Cover Letter: Write a cover letter that showcases your proactive attitude and strong communication skills. Mention specific examples of how you've contributed to compliance monitoring or policy development in previous roles.
Highlight Key Skills: In your application, clearly outline your working knowledge of GDPR and data protection laws. Also, mention your proficiency in Excel and PowerPoint, as these are crucial for the role.
Show Enthusiasm for the Role: Express your interest in the dynamic nature of the financial services environment and your eagerness to support effective risk management and regulatory alignment. This will demonstrate your alignment with the company's values.
How to prepare for a job interview at fs talent
✨Know Your Compliance Regulations
Familiarise yourself with the FCA Handbook and key regulations relevant to the role. Be prepared to discuss how these regulations impact compliance practices in financial services.
✨Showcase Your Analytical Skills
Prepare examples that demonstrate your analytical abilities, especially in handling data and management information. Highlight any experience you have with compliance monitoring and reporting.
✨Communicate Clearly
Practice explaining complex compliance matters in a straightforward manner. The ability to communicate technical information effectively is crucial, so consider how you can make your points relatable.
✨Demonstrate Proactivity
Share instances where you've taken initiative in previous roles, whether it was improving compliance processes or managing regulatory changes. This will show your proactive attitude and readiness to contribute.
