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

Job title: J2859 - Compliance Officer, Regulatory - UK, Gtr London / Surrey (Hybrid) - Asset Finance
Contract type: Permanent
Location: Surrey
Function: Legal / Compliance
Salary: Excellent salary, bonus and benefits
Reference: J2859
Contact email: careers@newleafsearch.com
Contact phone: 0203 740 7222
Job Published: June 07, 2022
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.

Salary: Excellent salary, bonus and benefits. Location: UK, Gtr London / Surrey (Hybrid).


  • Support the team to embed a strong compliance awareness and culture across the UK business.

  • Keep abreast of regulatory changes, assessing and summarising Financial Conduct Authority (FCA) (and other relevant regulator) papers for the Compliance Forum and wider business.

  • Provide advice and coordinate projects that relate to new regulatory rules.

  • Track regulatory changes and their implementation on a central spreadsheet and provide progress updates to senior management.

  • Write and update internal compliance policies and procedures and take full responsibility for these areas as allocated by the Head of Compliance.

  • Review and approve other departmental policies where relevant, e.g., Complaints Handling Policy, Vulnerable Customers Policy.

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

  • Support HR in relation to Culture and Conduct / Senior Managers and Certification Regime rules and requirements, including support of training initiatives.

  • Attend departmental team meetings, discussing and raising awareness of compliance topics such as Treating Customers Fairly (TCF).

  • Monitor compliance with the FCA’s principle of TCF by reviewing customer feedback through returned customer surveys. Investigate any negative feedback and collate quarterly reports for the board.

  • Deliver compliance induction training to UK new joiners.

  • Attend quarterly Business Continuity Management (BCM) committee meetings regionally and locally and assist with BCM project work as required.

  • Carry out quarterly (internal audit) ‘Permanent Supervision’ controls/checks.

  • Oversee the delegation of work, career development and management of Regulatory Compliance Officer(s).


  • 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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