Senior Compliance Officer (317498)



£40,000 - £45,000/annum

Job Location
- United Kingdom -- England -- East Midlands -- Lincolnshire -- Lincoln

Job Type

26 July 2018

My client is one of Lincolns biggest employers and one of the UKs largest in their field, this is a great opportunity for a Senior Compliance Officer to lend their skills to a larger company or an experienced Compliance Officer to take the next step in their career.

Purpose of the role:

To support the business in fulfilling their compliance accountabilities and delivering the commercial strategy.

Assist the Head of Compliance & Risk in delivering the annual compliance plan, specifically ensuring all monitoring activities are appropriately carried out.

Monitor activity to assess the extent to which all areas of the business adhere to regulatory procedural requirements.

Ensure relevant internal control standards are in place to allow the company to meet external legal and regulatory requirements.

Manage and develop a small team, comprising a monitoring officer and agent monitoring officer.

Regulatory training needs for the business and agent population will be identified and a robust training plan implemented and delivered by the Senior Compliance Officer, to both internal staff and agents, ensuring full regulatory knowledge and awareness throughout the business.

The Senior Compliance Officer role will be required to undertake field based work in regards delivering monitoring activities of field based sales staff, high risk agents and other trading brands of the company.

Key task and accountabilities:

Assist with the creation of the compliance annual plan, specifically the monitoring activities to be undertaken.

Delivering the programme of risk based monitoring and oversight reviews of the business, first line activities, ensuring continued adherence to legal and regulatory obligations.

Completing monitoring assessment of field based sales staff and high risk agents ensuring any concerns are appropriately identified, raised and mitigating actions undertaken to satisfactory resolution.

Design, create and deliver (as appropriate) all regulatory training and awareness

Supporting the Head of Compliance & Risk with reporting to Exco, ARC etc being deputy attendee in their absence

Implementation and embedment of compliance policies throughout the business, and agents where appropriate, through communication and training, and embedment of local processes

Management of agent monitoring processes, including due diligence and ongoing monitoring in accordance with the compliance policy and regulatory requirements

Delivering the requirements of the conduct risk framework through the delivery and challenge of relevant management reporting

The candidate:

3 - 5 years experience working within an FCA regulated environment

Practical knowledge and experience of implementing and delivering training, internally and externally

Risk analysis, MI design and reporting to an operational level

Proven knowledge and understanding of the private rental sector

A willingness to challenge and offer views and set own agenda

Ability to assess the business in order to design a risk based monitoring plan and training needs

Experience with implementing change within a business


25 days holiday + bank holidays

Employer pension contribution + other flexible benefits

Contact information

Bryan Nunn