Compliance Officer

Compliance Officer

Location: North Kent

Working Pattern: Full-time, Hybrid (3 days in the office following successful probation)

About the Role

My client is seeking an experienced Compliance Officer to join their 2nd Line Compliance function. Reporting directly to the Compliance Manager, you will play a key role in providing regulatory support and guidance across the business, helping to embed a strong compliance culture with a clear focus on positive client outcomes.

This role offers a broad and varied workload within a regulated financial services environment, with exposure to senior stakeholders and key regulatory initiatives.

Key Responsibilities

As part of the Compliance team, your responsibilities will include (but are not limited to):

• Thematic & Client Outcome Reviews
• Supporting and delivering the Thematic Review programme
• Conducting client outcome assessments to ensure regulatory expectations are met
• Financial Promotions
• Reviewing and approving marketing materials, websites and presentations to ensure compliance with FCA regulations

Policies & Governance

• Creating new and reviewing existing internal policies in line with current regulatory requirements
• Senior Managers & Certification Regime (SM&CR)
• Supporting the administration of SM&CR and Certification processes

Financial Crime

• Investigating referrals from the business
• Ongoing KYC due diligence monitoring and investigation

Management Information

• Gathering and analysing data for Management Information (MI) to demonstrate adherence to relevant regulations, including client outcomes
• Horizon Scanning
• Monitoring and reporting on regulatory developments and changes impacting the business

Regulatory Reporting

• Assisting with regulatory information requests and responses to the FCA

Culture & Training

• Educating employees on compliance obligations and client outcome expectations
• Promoting a strong, positive compliance culture across the organisation

Skills, Knowledge & Experience

Essential

• Minimum 2 years' experience working within a Compliance function, carrying out similar responsibilities
• (ideally within a Wealth Management or Financial Planning environment)
• Experience conducting Thematic and Client Outcome Reviews
• Strong knowledge of FCA regulations, including Consumer Duty
• Excellent verbal, written and interpersonal communication skills, with proven stakeholder management ability
• Strong client outcomes focus
• A pragmatic mindset, understanding both regulatory requirements and practical implementation
• Ability to translate complex regulatory requirements into clear, accessible guidance for all levels of staff
• Strong investigative skills with the ability to evidence and quantify decision-making
• High attention to detail and accuracy
• Strong analytical and problem-solving skills
• Self-motivated with excellent organisation and time management skills

Desirable (but not essential)

• ICA or equivalent compliance qualifications
• Level 4 Diploma in Financial Planning
• Knowledge or experience of Pensions

General Responsibilities

• Adhere to the FCA Principles for Businesses
• Comply with the Individual Conduct Rules under COCON