Compliance Officer

Posted 16 August by Mark James Search Limited
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Our client, a leading Financial services company, based near Maidenhead, are looking for a Compliance Officer to ensure that the company complies with all relevant legislation, regulations, policies and codes of conduct through appropriate control systems in order to minimise and mitigate risks to the business.


  • To assist the Compliance Monitoring Manager in designing, implementing and delivering the Group Compliance Monitoring Plan.
  • To continually identify areas of emerging risk ensuring that these are incorporated into the Group Compliance Monitoring Plan.
  • To assess the effectiveness of the internal control framework for compliance with regulatory requirements ensuring appropriate and timely action is taken to address deficiencies.
  • To keep up-to-date of emerging risks, both internally and externally, ensuring that appropriate action is taken to accommodate effective management of risk and amendments to the Group Compliance Plan.
  • To develop relationships with business owners and provide guidance on the effectiveness of risk management controls and the appropriateness of remedial action.
  • To prepare monitoring programmes ensuring that tests verify the effectiveness of internal controls and the Group's compliance with regulatory requirements.
  • To assess the appropriateness of responses from stakeholders to determine if issues have been resolved appropriately and ensuring timely validation work is scheduled.
  • To produce reports for the Senior Management Team.
  • To assist the Compliance Management Team with any reasonable requests in order to discharge the duties of the department.


  • Understanding of relevant legislation, regulations, policies and codes governing the mortgage and secured loans industry
  • Relevant compliance/regulatory experience in the financial services sector preferably including interpretation of regulation within the mortgage industry
  • Highest levels of honesty, integrity and embraces the philosophy of treating customers fairly
  • Strong sense of accountability reflected in a willingness to take responsibility for tasks and the ability see tasks through to completion.
  • Strong team player who has a positive attitude and works collaboratively with others
  • A Compliance professional preferably educated to degree standard (desirable)
  • Relevant industry qualifications an advantage

This is a full time, permanent position working Monday-Friday, 9am-5.30pm

Our client is a reputable, well-established, modern and forward-thinking organisation who offer fantastic remuneration and benefits packages alongside excellent career progression opportunities.

Please apply online to be considered.

Reference: 35889968

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