Compliance Specialist - #2076490

The Compliance Officer supports the firm in meeting its regulatory obligations under the FCA, PRA, and other relevant frameworks. The role combines advisory work, monitoring, policy development, and incident management to ensure the business operates within regulatory expectations.

Key Responsibilities

• Regulatory Advisory — Provide day‑to‑day guidance to business units on FCA rules (e.g., COBS, SYSC, SMCR, CONC, PROD).
• Compliance Monitoring — Deliver the annual Compliance Monitoring Plan, conduct thematic reviews, and report findings.
• Policy & Framework Management — Draft, update, and maintain compliance policies, procedures, and control frameworks.
• Regulatory Reporting — Support or lead regulatory submissions (e.g., GABRIEL/RegData returns, SMCR updates).
• Training & Awareness — Deliver compliance training and promote a strong culture of conduct and ethics.