J2851 - Compliance Officer - UK, Berkshire / Thames Valley - Asset Finance

Job title: J2851 - Compliance Officer - UK, Berkshire / Thames Valley - Asset Finance
Contract type: Permanent
Location: Berkshire
Function: Legal / Compliance
Salary: To £50,000 plus excellent bonus and benefits
Reference: J2851
Contact phone: +442037407222
Job Published: October 15, 2021
Remote WorkingHybrid

Job description

​J2851 - Our client is seeking a Compliance Officer to ensure appropriate compliance and risk obligations are designed, embedded and adhered to across the company. You will undertake the company's compliance monitoring and regulatory horizon scanning, provide regulatory and technical advice to Senior Management as well as lead the implementation and embedding of the risk management framework.

Salary: To £50,000 plus excellent bonus and benefits. Location: UK, Berkshire / Thames Valley


  • Assist the business to operate according to the highest standard of regulatory and compliance practise.

  • Establish and maintain effective compliance systems, procedures, and controls to monitor and direct the overall business.

  • Assist with the implementation of a Business Risk Assessment of all significant risks to the company, ensuring those risks are documented, monitored, and controlled.

  • Liaise with the Director of Legal and Compliance ensuring risks to the group are mitigated in line with group appetite.

  • Deliver suitable business continuity plan.

  • Ensure effective management of all compliance matters, whilst keeping fully up to date on all current laws and relevant regulations, including FCA rules and guidance, consumer credit, financial sanctions, data protection, KYC and anti- money laundering requirements.

  • Develop and deliver policies, procedures and processes designed to minimise compliance and regulatory risk and benchmark against ‘best industry practise’.

  • Constantly review the compliance and regulatory risk framework and prioritise accordingly upon identification of coverage shortcomings.

  • Report to the Director of Legal and Compliance on a regular basis whilst reviewing and controlling items such as the breaches, complaints, conflicts, policy exemptions and PEPs registers.

  • Track and report on the progress of remedial actions and where appropriate, guide management in implementing necessary improvements.

  • Undertake special investigations as required in response to breaches or other issues arising.

  • Identify and escalate at the earliest opportunity any significant regulatory issues to the line manager in a clear and accurate manner.


  • Financial services technical compliance experience relating to B2B asset finance and banking, in particular the Financial Conduct Authority and Consumer Credit rules.

  • Ideally educated to a degree level or equivalent standard.

  • FSI or equivalent (level 3 or 4) is desirable but not essential as overall experience will be considered.

  • Minimum of 5 years experience within financial services or a similar regulated industry.

  • Expert knowledge of FCA regulations.

  • Good attention to detail and proven accuracy skills.

We strongly favour applicants with proven, relevant experience in Financial Services; particularly in Asset Finance and Leasing.

Applicants will only be considered with relevant in-country experience.

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Katherine Amin

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