Compliance Officer

Responsibilities

• Provide day-to-day compliance advice across retail banking activities
• Review and approve financial promotions
• Monitor regulatory developments
• Support the bank's wider compliance framework
• Support the implementation and maintenance of the bank's compliance framework, including policies, procedures and controls
• Conduct compliance monitoring and thematic reviews, identifying areas for improvement and tracking remediation
• Advise on regulatory change and assist with implementing new FCA rules and guidance
• Support product governance and new product approval processes
• Assist with regulatory risk assessments and compliance reporting
• Provide compliance input into projects, change initiatives and business transformation activities
• Deliver compliance training and raise regulatory awareness across the business
• Support internal and external audits and regulatory enquiries where required
• Assist with the investigation of compliance incidents and breaches
• Maintain effective relationships with key stakeholders across Marketing, Product, Operations, Legal, Risk and Customer Services

Requirements

• Experience gained within Compliance in a UK retail consumer bank or regulated financial services firm
• Demonstrable experience reviewing and approving Financial Promotions under FCA rules
• A good working knowledge of the FCA Handbook, including PRIN, Consumer Duty, DISP, and Financial Promotion rules (including COBS where relevant), plus CONC (desirable for consumer lending businesses) and BCOBS where applicable
• Confidence providing pragmatic compliance advice to first-line business teams
• A solid grounding in compliance monitoring, regulatory risk management and governance
• Strong stakeholder management and communication skills
• The ability to balance regulatory requirements with commercial objectives
• Excellent written, analytical and organisational skills
• Experience within consumer lending, savings, current accounts or other retail banking products (desirable)
• Experience supporting regulatory change programmes (desirable)
• Knowledge of vulnerable customer requirements (desirable)
• A professional compliance qualification (such as the International Compliance Association Diploma or Advanced Certificate, or equivalent) (desirable)
• Experience interacting with the Financial Conduct Authority (desirable)

ATS Optimization Keywords

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Hard Skills

• Compliance Framework Implementation
• Regulatory Change Implementation
• Thematic Reviews
• Regulatory Risk Assessments
• Compliance Reporting

Soft Skills

• Communication Skills
• Analytical Skills
• Organisational Skills
• Relationship Management
• Pragmatic Advice

Certifications & Qualifications

• International Compliance Association Diploma
• Advanced Certificate

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