Job Vacancies

Recruitment – Compliance Officer

We are looking for a Compliance Officer to join our team.

Required to work closely with internal teams within the company and their other jurisdictions within both the UK and Worldwide.

Key responsibilities:

  • Monitoring and reporting on UK regulatory obligations
  • Keeping abreast of all prevailing and pending regulatory and legislative requirements and ensuring that the business areas impacted are fully informed
  • Embedding and promoting effective risk management through compliance activities
  • Conducting monthly, quarterly and annual Compliance activities to the required standard
  • Maintaining accurate record keeping and assisting in the compilation of Management Information in line with internal and external reporting requirements
  • Work closely with Operations and Compliance to ensure that the regulatory control environment is maintained, suggesting enhancements for key controls governing regulatory risks
  • Responsible for the effective implementation of the Compliance Monitoring Programme (“CMP”) ensuring that it continues to provide oversight of the business and compliance with regulations
  • Promote awareness of, and compliance with policies and procedures
  • Any other duties required to fulfil the requirements of the role


  • Experience in the Financial Service Industry
  • Up to date knowledge of FCA and all other relevant regulations

Salary based on experience

Contact:           Anna Marsh
Telephone:      01730 233948