Compliance Officer - Financial Services

About the Role

Our client is seeking a knowledgeable and proactive Compliance Officer to ensure adherence to all relevant regulations and laws within their financial services operations in Derby . This role is essential for maintaining the integrity and reputation of the company by identifying and mitigating compliance risks. You will develop and implement compliance policies, conduct monitoring, and provide training to staff, contributing to a culture of ethical conduct and regulatory excellence. This is a significant opportunity to take a leading role in compliance within the Derbyshire financial sector, ensuring the firm operates soundly and responsibly.

Key Responsibilities

• Develop, implement, and maintain compliance policies and procedures across the organisation.
• Monitor business activities to ensure adherence to all applicable financial regulations and industry standards.
• Conduct internal audits and risk assessments to identify potential compliance breaches.
• Provide guidance and training to employees on compliance matters and regulatory changes.
• Liaise with regulatory bodies and manage responses to inquiries and examinations.

Requirements

• Bachelor's degree in Law, Finance, Business, or a related field.
• Significant experience (5+ years) in a compliance role within the financial services industry.
• In-depth knowledge of UK financial regulations (e.g., FCA, PRA rules).
• Experience in developing and delivering compliance training programs.
• Strong analytical, communication, and investigative skills.

Benefits

• Competitive salary and bonus opportunities.
• Comprehensive benefits package including private medical care.
• Opportunities for professional development and advanced compliance certifications.
• Hybrid working model offering flexibility.
• Positive and collaborative work culture in Derby .