Compliance Officer

We believe that helping people unlock a better retirement starts with helping everyone in our organisation unlock their true potential, and thrive.

To do that, we're mindful of staying true to the values that make us who we are, and proud of what we do.
Compliance Officer
Full time and Permanent
Monday - Friday alternating 8am-4pm and 9am-5pm shifts

The role of the Compliance Officer is to provide proactive and collaborative support to the group focusing on the delivery of customer outcomes, regulatory requirements and the provision of assurance activities, including the implementation of the Key Groups compliance monitoring plan.

You will provide support and advice that adheres to company and regulatory requirements and embraces and embeds a customer centric culture. This role would suit someone with a professional background, who is accustomed to high standards of personal discipline and behaviour and who has demonstrable experience in an oversight or control role.

Main role & responsibilities:

• Understand and provide advice and oversight on the Financial Conduct Authority's regulatory expectations.
• Provide direct support, guidance and advice to the business on Compliance matters including FCA, Money Laundering and ICO regulations.
• Provide practical advice on the application of company and regulatory policy to resolve issues raised within the business.
• Influence and assist the business to establish and maintain appropriate standards of business practice consistent with company and regulatory requirements.
• Review and approve standard financial promotions and tweaks to existing materials including, but not limited to, inserts, leaflets, emails and scripts.
• Deliver effective monitoring, testing and analysis of operational functions.
• Identify areas of improvement, and through working collaboratively, making recommendations for change.
• Conducting comprehensive assessments of customer journeys.
• Supporting testing and reviews as part of the compliance monitoring and risk programme.
• Delivering fully maintained work programmes.
• Reviewing AML and KYC queries.
• Build effective, supportive relationships with key stakeholders to facilitate and develop the company and regulatory culture.
• Promote a positive and proactive approach to embedding 'best practice' and with it a forward-looking compliance culture.

Required skills and abilities:

• Good regulatory knowledge specifically FCA requirements.
• Excellent punctuality, timekeeping, standard and accuracy of work.
• Excellent interpersonal, verbal and written communication skills with the ability to influence and negotiate at all levels.
• Able to demonstrate analytical, decision making and problem solving skills, achieving best business practice.
• Committed to quality; highly compliant and able to prioritise and organise own workload to ensure that deadlines are adhered to.
• Proactive; constantly considers process and puts forward suggestions on how to change for the better using initiative as and where appropriate.
• Highly motivated, accurate, methodical and able to prioritise effectively, with the ability to work well under pressure.
• Excellent interpersonal skills, including questioning and listening together with logical investigative processes.
• Able to liaise with colleagues and work supportively and collaboratively when necessary and/or appropriate.
• Excellent level of attention to detail, scores highly on quality control and experience of working in a fast-paced working environment but where accuracy is essential.
• Ability to demonstrate initiative, whilst applying and following a methodical approach to tasks would be an essential pre-requisite.

Benefits:

• 23 days holiday, plus bank holidays. Rising to 28 days based on length of service
• Additional holiday purchase scheme
• 1 charity and well being day
• Tier 1 pension
• Simply Health
• Life Assurance

Most of all we look for people who display and work around the core values of our business:

Ambitious - to break ground to help our customers enjoy a better retirement.
Supportive - relationships are key to everything we do.
Personal - going above and beyond to offer exceptional service.
Integrity - honest, true and transparent in all of our relationships.
Responsive - whatever the challenge we'll deliver the right result.
Expert - experts in our field, our thirst for knowledge never stops