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- Tasks: Ensure compliance with regulations and support risk management activities.
- Company: Join Ascent Performance Group, a leader in legal and financial services.
- Benefits: Enjoy competitive benefits, including a pension scheme and health cash plan.
- Why this job: Make a real impact by promoting ethical standards and positive customer outcomes.
- Qualifications: Experience in financial services and strong understanding of FCA regulations required.
- Other info: Friendly team environment with great career progression opportunities.
The predicted salary is between 36000 - 60000 £ per year.
Ascent Performance Group is a leading provider of legal and financial services, committed to delivering exceptional results for our clients. At Ascent, we place our customers at the heart of everything we do. During their most challenging times, we strive to provide the support and guidance they deserve.
At Ascent, we pride ourselves on creating a supportive, inclusive, and collaborative environment where your contributions truly make a difference. We are committed to helping our people grow, offering professional development opportunities and a culture built on fairness, integrity, and customer care.
As a Compliance Officer, you will play a pivotal part in ensuring that our operations remain aligned to FCA expectations, internal policies, and industry best practice. Acting as a trusted adviser, you will provide challenge, guidance, and assurance across the business, helping us maintain high ethical standards and deliver positive customer outcomes.
Key Responsibilities:- Support risk management activities, including monitoring key risks, investigating risk events, and contributing to risk and compliance reports.
- Deliver internal audits and thematic reviews, identifying issues, recommending improvements, and monitoring action plans.
- Provide Second Line of Defence assurance, including reviewing complaints, customer journeys, and overall control effectiveness.
- Investigate risk events, complaints, and regulatory issues.
- Stay up to date with regulatory changes and contribute to continuous improvement across compliance and risk processes.
- Promote fair customer outcomes and ensure all work aligns with legislation, FCA requirements, and internal policies.
- Experience in financial services within risk, compliance, or control functions.
- Strong understanding of FCA regulations (e.g., CONC, DISP, SYSC, PRIN, GDPR).
- Able to manage multiple priorities independently.
- Excellent communication skills and attention to detail.
- Proactive, structured, and confident engaging stakeholders.
- Knowledge of consumer and commercial debt recovery processes.
- Understanding of SMCR regulatory requirements.
A friendly, team-focused workplace with opportunities for career progression and professional development along with a competitive benefits package, including:
- Company pension scheme
- 22 days holiday plus bank holidays (with the option to purchase additional days)
- Health cash plan
- Critical illness cover
- Discounted legal services
- Season ticket loans
- Discounts on online shopping and gym memberships
- Cycle-to-work scheme
As part of the Ascent on-boarding process, all successful applicants are required to complete the group's employment screening process. This process helps to ensure that all new employees meet our standards in relation to honesty and integrity, therefore protecting the interests of the Group, existing employees, clients, partners, and other stakeholders.
Compliance Officer employer: Opal Orthopaedics Ltd (UK) & Opal Medical Australia P/L
Contact Detail:
Opal Orthopaedics Ltd (UK) & Opal Medical Australia P/L Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching Ascent and understanding their values. Be ready to discuss how your experience aligns with their commitment to customer care and ethical standards.
✨Tip Number 3
Practice your responses to common compliance-related questions. Show off your knowledge of FCA regulations and how you've handled risk management in the past. Confidence is key!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you’re genuinely interested in joining the Ascent team.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Compliance Officer role. Highlight your experience in financial services and your understanding of FCA regulations, as this will show us that you’re a great fit for our team.
Showcase Your Skills: Don’t just list your skills; give us examples of how you've used them in previous roles. Whether it’s managing risk or conducting audits, we want to see how you’ve made an impact in your past positions.
Be Clear and Concise: When writing your application, keep it straightforward. Use clear language and avoid jargon. We appreciate a well-structured application that gets straight to the point, making it easy for us to see your qualifications.
Apply Through Our Website: We encourage you to apply directly through our website. This way, you’ll ensure your application reaches us without any hiccups, and you can easily track your application status!
How to prepare for a job interview at Opal Orthopaedics Ltd (UK) & Opal Medical Australia P/L
✨Know Your FCA Regulations
Make sure you brush up on your knowledge of FCA regulations like CONC, DISP, and GDPR. Being able to discuss these confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Showcase Your Risk Management Skills
Prepare examples from your past experience where you've successfully managed risks or conducted audits. Highlighting specific situations where you identified issues and recommended improvements will demonstrate your proactive approach.
✨Engage with Stakeholders
Think about how you can illustrate your communication skills during the interview. Be ready to discuss how you've engaged with various stakeholders in previous roles, as this is crucial for a Compliance Officer.
✨Emphasise Continuous Improvement
Ascent values continuous improvement, so come prepared with ideas on how compliance processes can be enhanced. Discuss any initiatives you've been part of that led to better outcomes, showing your commitment to ethical standards and customer care.
