Compliance Officer – Financial Services

About the role

The Compliance Officer will support the compliance function of a leading financial services firm, ensuring that regulatory requirements and internal policies are consistently met. Working closely with cross‑functional teams, the role contributes to the firm’s compliance monitoring plan and maintains key registers and documentation.

Key responsibilities

• Ensure adherence to financial services regulations, Treating Customers Fairly, Training & Competence, AML and financial crime prevention.
• Maintain and update compliance registers (Financial Promotions, UCIS, high‑risk clients, Elective Professional Clients).
• Manage the compliance task workflow and support regulatory Compliance Monitoring Plans, including thematic reviews and surveillance testing.
• Conduct AML testing activities and assist in developing testing methodologies.
• Identify efficiencies and propose automation of compliance processes.
• Keep documentation up‑to‑date and record Continuing Professional Development.
• Meet performance standards and uphold ethical standards across the organisation.

Required profile

• Strong organisational ability with meticulous attention to detail.
• Self‑motivated with effective time‑management and ability to prioritise workload.
• Assertive yet diplomatic, able to build relationships across all levels.
• Excellent written and verbal communication skills.
• Team‑player who can support colleagues and maintain confidentiality.
• Alignment with company values and culture.

Required skills

• Proficiency in Microsoft Excel.
• Proficiency in Microsoft Word.
• Proficiency in Microsoft PowerPoint.