Compliance Officer

Are you a Compliance Officer looking to work for a fast-growing SME business? This is a unique opportunity to step into a newly created role with genuine growth opportunities. As a Compliance Officer, you'll work closely with senior stakeholders across the business and be responsible for developing the function across the group including planning, execution and monitoring.

Responsibilities:

As the Compliance Officer, you will...

• Assist in developing the annual risk-based Compliance Monitoring Plan by assessing key business risks and aligning with regulatory requirements.
• Contribute to the planning, execution, and reporting of compliance monitoring reviews in accordance with the approved plan.
• Maintain and enhance the Compliance Monitoring Framework, including its methodology, templates, and supporting tools.
• Carry out thematic reviews and in-depth analyses in areas of heightened regulatory risk or significant business change.
• Identify control gaps and regulatory risks, collaborating with stakeholders to agree and implement effective remedial actions.
• Monitor and follow up on actions from reviews to ensure timely and effective resolution.
• Produce clear and concise monitoring reports, presenting findings to relevant governance bodies.
• Prepare compliance monitoring management information (MI), highlighting thematic issues, trends, and emerging risks, and provide input for governance meetings and FCA reporting where required.
• Offer compliance oversight and input into projects or initiatives as needed to support the Compliance function.

Requirements:

As the Compliance Officer, you will need...

• Experience of undertaking compliance monitoring reviews, audits, or assurance testing against regulatory standards.
• Experience of producing high quality reporting for Boards, Committees, or similar.
• Experience of analysing information and presenting back findings in a clear, precise and concise way.
• Understanding of both the practical and technical requirements of FCA

Benefits:

As the Compliance Officer, you will get...

• A competitive salary with bonus potential based on performance.
• Comprehensive health and wellbeing benefits.
• Hybrid and flexible working pattern
• Onsite parking
• Study support

Rutherford Briant is passionate about equity, diversity, and inclusion. We seek individuals from the widest talent pool and encourage underrepresented talent to apply to vacancies with us. We are committed to recruitment processes that are fair for all, regardless of background and personal characteristics.