J2859 - Compliance Officer, Regulatory - UK, Gtr London / Surrey - Asset Finance

Job title: J2859 - Compliance Officer, Regulatory - UK, Gtr London / Surrey - Asset Finance
Contract type: Permanent
Location: Surrey
Function: Legal / Compliance
Salary: Excellent salary, bonus and benefits
Reference: J2859 - 2
Contact email: careers@newleafsearch.com
Contact phone: 0203 740 7222
Job Published: December 02, 2021
Remote WorkingHybrid

Job description

​​J2859 - Our client is seeking a Compliance Officer, Regulatory to ensure the company complies with all applicable regulation, industry standards and best practice, code of conduct, local and applicable group policies and procedures. The key responsibility is to support the Compliance team.

Salary: Excellent salary, bonus and benefits. Location: K, Gtr London / Surrey


  • Attend departmental team meetings discussing & raising awareness of compliance topics including TCF & Fraud awareness and promoting the values of the leadership model.

  • Deliver compliance inductions to all new joiners.

  • Liaise with HR on the allocation of on-line compliance training.

  • Coordinate projects that relate to new regulatory rules.

  • Update & write internal compliance policies & procedures and take full responsibility for these areas as allocated by the Head of Compliance/ Compliance Manager.

  • Review and summarise regulatory updates.

  • Carry out quarterly permanent supervision controls/checks.

  • Review controls in line with audit actions and update internal systems.

  • Assist with Data Protection and Operational Risk reporting.

  • Help meet the FCA’s principle of TCF monitor customer feedback through returned customer surveys.

  • Investigate any negative feedback and collate quarterly reports for the board.

  • Assist with training sessions for sales teams and wider business.

  • Maintain the introducer spreadsheet ensuring all introducers have relevant FCA permissions for regulated activities.

  • Assist with projects on identified areas of weakness to ensure FCA compliance.

  • Raising the agenda for the fortnightly compliance forum and minute taking of the meeting.

  • Send reminders out and follow up chases to managers & directors for the completion of permanent supervision, Operation Risk, dysfunctions, quarterly gifts & events declarations and departmental procedures.


  • Compliance / Regulatory experience ideal.

  • Asset Finance / Leasing experience advantageous.

  • Excellent verbal and written communication skills.

  • Excellent interpersonal skills.

  • Methodical and has attention to detail.

  • Good time management and organisational skills.

  • Focused on providing excellent service to internal customers.

  • Ability to work under pressure and use own initiative.

  • Ability to identify and put forward new ideas for improvements.

  • A strong team player.

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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Jane Theobald

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