Compliance Officer

Full Time, Permanent
South Yorkshire
Posted 2 months ago

Job Title: Compliance Officer

Location: Selby

Salary: Up to £35k 

About the Company:

Our client is a successful Financial Services firm who operate in the Commercial Finance , Regulated Mortgage and Protection Insurance markets. They offer a broad range of services to clients and Network Partners.

Job Description: 

They are looking for a Compliance Officer to join the team, the core focus of the role will to provide compliance training, support and guidance to all Network Partners and ensure that standards are fully met. Some of the duties will include:-

  • To ensure all Network Partners operate within the regulatory permissions held by the Company
  • Complete pre – contract checks and regular compliance reviews with Network Partners
  • To ensure that the Company fully discharges its Regulatory and Compliance obligations to the FCA
  • To collate and manage the provision of reporting information to the FCA using the Connect and RegData interfaces
  • To provide regular routine management information to the Directors of the Company
  • To update staff and Network Partners on changes to FCA regulatory policies
  • To work closely with our Training officer in delivering Compliance training modules and content to Network Partners

Skills and Experience needed (essential or preferred) :-

  • Educated to degree level or equivalent , any formal Finance sector qualifications would be advantageous
  • Commercial Finance, Regulated Mortgage / Protection or IFA sector experience operating in a regulatory and compliance focussed position – 3 years minimum
  • Understanding of the FCA Regulatory Framework and general principals of business
  • Understanding of the Financial Ombudsman Service ( FOS)
  • Experience in using and interpretation of the FCA handbookKnowledge of and experience using the FCA Connect registration system
  • Knowledge and experience using the FCA RegData reporting system
  • Knowledge and experience of the AR and IAR models within the FCA regime
  • Knowledge and experience of complaint handling , investigation and reporting to the FCA / FOS where necessary

For more information or to send applications please contact Melanie Phillips on

Job Features

Job CategoryCompliance Officer

Apply Online

A valid email address is required.
A valid phone number is required.