Compliance Officer

Compliance Officer

Location: Rochester, Kent – Hybrid (3 days in office after probation)

Working with both the Compliance Manager and Complaints Specialist, the Compliance Officer will provide regulatory support and guidance to the business to ensure regulatory obligations are met.

Key Responsibilities:

• Data Protection: Process Data Subject Access Requests (DSARs).
• Breach Management: Log, investigate, and analyse breaches.
• Horizon Scanning: Monitor and report on regulatory changes.
• Financial Promotions: Review marketing materials for compliance.
• Regulatory Reporting: Assist with regulatory requests.
• Policies: Create and review internal policies.
• Management Information: Gather data to demonstrate regulatory adherence.
• Thematic Reviews: Support thematic reviews as needed.
• Complaints Support: Log complaints and prepare files for the Ombudsman.

Skills & Knowledge:

• 2+ years' compliance experience
• Preferably worked in wealth management/financial planning
• Strong knowledge of FCA regulations and handbook (eg. COBS, SMCR, code of conduct etc)
• Understanding of consumer duty
• ICA or similar compliance qualifications ideal