Compliance Officer
Location: North Kent
Working Pattern: Full-time, Hybrid (3 days in the office following successful probation)
About the Role
My client is seeking an experienced Compliance Officer to join their 2nd Line Compliance function. Reporting directly to the Compliance Manager, you will play a key role in providing regulatory support and guidance across the business, helping to embed a strong compliance culture with a clear focus on positive client outcomes.
This role offers a broad and varied workload within a regulated financial services environment, with exposure to senior stakeholders and key regulatory initiatives.
Key Responsibilities
As part of the Compliance team, your responsibilities will include (but are not limited to):
*Thematic & Client Outcome Reviews
*Supporting and delivering the Thematic Review programme
*Conducting client outcome assessments to ensure regulatory expectations are met
*Financial Promotions
*Reviewing and approving marketing materials, websites and presentations to ensure compliance with FCA regulations
Policies & Governance
*Creating new and reviewing existing internal policies in line with current regulatory requirements
*Senior Managers & Certification Regime (SM&CR)
*Supporting the administration of SM&CR and Certification processes
Financial Crime
*Investigating referrals from the business
*Ongoing KYC due diligence monitoring and investigation
Management Information
*Gathering and analysing data for Management Information (MI) to demonstrate adherence to relevant regulations, including client outcomes
*Horizon Scanning
*Monitoring and reporting on regulatory developments and changes impacting the business
Regulatory Reporting
*Assisting with regulatory information requests and responses to the FCA
Culture & Training
*Educating employees on compliance obligations and client outcome expectations
*Promoting a strong, positive compliance culture across the organisation


Skills, Knowledge & Experience
Essential
*Minimum 2 years’ experience working within a Compliance function, carrying out similar responsibilities
*(ideally within a Wealth Management or Financial Planning environment)
*Experience conducting Thematic and Client Outcome Reviews
*Strong knowledge of FCA regulations, including Consumer Duty
*Excellent verbal, written and interpersonal communication skills, with proven stakeholder management ability
*Strong client outcomes focus
*A pragmatic mindset, understanding both regulatory requirements and practical implementation
*Ability to translate complex regulatory requirements into clear, accessible guidance for all levels of staff
*Strong investigative skills with the ability to evidence and quantify decision-making
*High attention to detail and accuracy
*Strong analytical and problem-solving skills
*Self-motivated with excellent organisation and time management skills
Desirable (but not essential)
*ICA or equivalent compliance qualifications
*Level 4 Diploma in Financial Planning
*Knowledge or experience of Pensions
General Responsibilities
*Adhere to the FCA Principles for Businesses
*Comply with the Individual Conduct Rules under COCON