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Compliance Officer

Date posted: 17 Feb, 2015
Ref: Ref:co170215
Industry: Compliance
Salary: £30000 - £40000 + Excellent Benefit
Location: Wolverhampton
Contract Type: Permanent
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Further Information

My client is a well known Blue Chip Financial Services provider based in West Midlands. Due to the continued success of the business and subsequent growth of the Compliance function, they are currently recruiting for a Compliance Officer.

Reporting to the Director of Compliance you will be responsible for delivering high-quality Compliance Monitoring Programmes. Whilst providing advice and guidance to the business in relation to new and existing regulation.

Your main responsibilities will include;

  • Support the development of the compliance culture of the organisation, ensuring all policies, processes, procedures and training meet with financial regulation and legislation.
  • Support the development and maintenance of the organisation’s Compliance Policy Manual and supporting policies and procedures.
  • Assist in the design, implementation and maintenance of an annual compliance monitoring programme
  • Advise line managers on the scope and implications of the regulation, legislation and the organisation’s compliance policies.
  • Write and present compliance reports including summaries of appropriate papers issued by the regulator.
  • Advise line managers on the scope and implications of the Money Laundering Regulations, JMLSG Guidance and the organisation’s financial crime policy.
  • Oversee Complaints Handling Policy, undertake root cause analyses and prepare management information and regulatory returns.

You will be a Compliance professional from the Financial Services sector. An understanding ofMortgages is essential, Secured Loans and Savings Products desired. You will also possess up to date knowledge and experience of working to relevant PRA and FCA guidelines and regulations. A CeMap qualification is desired, however not essential.


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