James George Recruitment is working with a well-established, FCA-authorised commercial finance broker to recruit a Compliance Officer. The firm arranges asset finance, business loans, car finance, cash flow finance and more for UK businesses.
This is a varied, hands-on role where youll own the firms compliance framework from end to end. Youll be the go-to person for the FCA and industry bodies, and youll help build a strong compliance culture as the business grows. Youll report to the Operations Manager.
Key responsibilities
- Acting as main contact for the FCA, NACFB, SAF and other relevant bodies
- Managing FCA regulatory data submissions (monthly, quarterly and annual) and quarterly ONS returns
- Carrying out and documenting the annual Consumer Duty review
- Putting regulatory updates and handbook changes into practice
- Maintaining NACFB and SAF accreditation, including staff learning and renewal testing
- Designing and delivering compliance and fraud training, and keeping training records up to date
- Owning the firms policies, including an annual review cycle with Board sign-off
- Overseeing GDPR, including SARs, consent, privacy notices and a new Data Retention Policy
- Supporting audits, onboarding of new staff and compliance set-up for introducers and Appointed Representatives
- Managing relationships with third-party credit agencies
About you
- Strong working knowledge of FCA regulation in a financial services setting
- Experience with regulatory reporting, audits and industry accreditations
- Practical understanding of GDPR and data protection
- Able to turn regulatory guidance into practical processes
- Highly organised, with excellent attention to detail
- A confident communicator with regulators and colleagues at every level
- Experience with NACFB, SAF or Consumer Duty, or of delivering compliance training, would be a real advantage
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Compliance Officer employer: JAMES GEORGE RECRUITMENT LIMITED
Join a dynamic and supportive team as a Proposal Review Analyst in a thriving organisation within the Asset Finance sector. Our company fosters a collaborative work culture that values employee growth, offering ample opportunities for professional development and advancement. Located in a vibrant area, we provide a stimulating environment where your contributions are recognised and rewarded, making it an excellent place to build a meaningful career.
Contact Details:
JAMES GEORGE RECRUITMENT LIMITED Recruitment Team
