Compliance Officer, Finance & Banking

Compliance Officer Role Purpose Leading UK based Insurance firm, located in Cheshire and offering hybrid working are looking to recruit a Compliance Officer. The role will support the Head of Compliance in the development, implementation, and ongoing delivery of policies and procedures that ensure a robust and effective compliance framework. The role ensures the firm operate in full alignment with UK regulatory requirements, industry standards, and internal policies.

It plays a key part in safeguarding FCA compliance while promoting a strong culture of ethical conduct, customer fairness, and good consumer outcomes across the firm.

Key Responsibilities Regulatory Compliance & Oversight Monitor, interpret, and advise on FCA regulations applicable to insurance intermediaries, including ICOBS, SYSC, SM&CR, and Consumer Duty . Ensure that each firm’s policies, procedures, and controls remain compliant with evolving regulatory requirements. Risk Management & Assurance Identify, assess, and report compliance risks across the firm. Maintain the compliance risk register and support the implementation of effective risk mitigation actions.

Reporting & Regulatory Submissions Assist in the preparation of compliance reports for senior management, Boards, and other stakeholders. Training & Culture Deliver compliance training to staff on topics such as conduct rules, data protection, financial crime, and complaints handling. Promote a culture of Treating Customers Fairly (TCF) and effective Consumer Duty outcomes across the business. Customer Outcomes & Product Governance Oversee complaints handling processes and ensure compliance with FCA DISP requirements.

Essential Experience & Skills Strong working knowledge of FCA regulations relevant to insurance. Experience in a compliance, risk, or audit role within financial services (insurance experience preferred). Excellent analytical, communication, and report-writing skills. Ability to provide constructive challenge and influence stakeholders at all levels of the business. High attention to detail with strong organisational and time management skills. Applicants must be located and eligible to work in the UK without sponsorship.

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