Compliance Officer (Policy team)
Permanent
Full-time (37.5 hours, Monday to Friday)
Hybrid: 3 days in the office, 2 days from home
£30,000-£40,000 depending on experience

About the Role

At MAB, doing the right thing for our customers sits at the heart of everything we do. As our new Compliance Officer, you'll play an important part in making sure our regulatory world runs smoothly behind the scenes and that the people who rely on us every day can trust the foundations we've built.

This is a brilliant opportunity for someone who loves structure, takes pride in accuracy and enjoys making processes work better for everyone. Whether you're a strong administrator or someone with experience in regulatory references, FCA Directory updates or similar regulated‑process tasks, you'll quickly become a key support for our Policy Team.

Your role will help keep our systems, adviser records and policy framework up-to-date and regulator-ready. You'll be the kind of person who notices the details others might miss, enjoys bringing clarity to complexity and takes satisfaction in knowing that your work contributes to excellent customer outcomes across MAB.

Key Responsibilities

• Take ownership of day‑to‑day regulatory administration, including:
  • FCA Directory updates
  • FCA Connect submissions
  • Regulatory References
  • Adviser onboarding/offboarding
• Keep Adviser and SM&CR records accurate, consistent and easy to navigate.
• Help maintain our SM&CR documentation so it's always audit‑ready and in great shape.
• Carry out daily regulatory horizon scanning and highlight anything important to the team.
• Look after our Compliance and Regulatory inboxes, ensuring queries are managed promptly and professionally.
• Maintain our RiskSmart system, helping ensure policies are version‑controlled, organised and aligned to governance standards.
• Support the full policy lifecycle, from updates and approvals to publication and communication.
• Keep Adviser guidance up to date on internal platforms such as Workvivo.
• Use project and task management tools like Monday.com to keep tasks flowing and ensure nothing gets missed.
• Support the creation of Management Information (MI) and help gather data for regulatory reporting.
• Provide reliable, thoughtful administrative support across wider Compliance activities.
• Identify and escalate gaps or issues that could affect compliance, accuracy or customer outcomes.
• Ensure records and documentation always meet our high, regulator‑ready standards.

About You

• Experience in administrative, compliance, policy or regulatory support (ideally within financial services) is essential.
• You have a naturally sharp eye for detail and take pride in getting things right.
• You enjoy being organised, structured and accountable for your work.
• You communicate clearly in writing and feel confident summarising information.
• You are comfortable using a range of systems, project and task management tools and workflows.
• You take a methodical, process‑driven approach, always thinking about audit readiness.
• You work well independently who also enjoys being part of a supportive, collaborative team.
• You are proactive and confident in asking questions, highlighting issues and suggesting improvements.
• Bonus: Any experience with FCA Connect, FCA Directory, SM&CR or regulatory references is helpful but not essential. We'll support your learning.

🤝 Recruitment Process
You may have a preliminary call with our TA team before shortlisting applications. 
1st stage:Teams interview with the hiring team 
2nd stage: Interview and task with the hiring team at our Derby HQ

What's In It For You?
💸 Private Medical Insurance (Vitality), 25 days annual leave (increasing to 28 with service) plus your birthday off, matched pension contribution (L&G), share save scheme (Equinity), retail discounts, free entertainment tickets, plus much more!
⏰ Flexible working hours with hybrid working for Head Office roles (as agreed with your line manager)
📚 A wide range of Learning & Development offers, from 121 coaching to qualification support, helping you to grow and thrive in your career
🤝 A supportive, inclusive culture with forums you're welcome to join from day 1, using your voice to make MAB an even better place to work

Everyone is Welcome
At MAB, we value different experiences and perspectives which adds diversity and value to our culture. As an equal opportunities employer, we are committed to creating an environment where everyone feels welcomed, included and heard for who they are. We aspire to have a diverse and inclusive workplace and strongly encourage applicants from a wide range of backgrounds to apply and join us. 

We are committed to reducing barriers in every stage of our recruitment process so everyone feels they can bring their best self when applying for new opportunities at MAB. If you'd like to hear how we can support you by adjusting our process, from application to interview and onboarding, please contact #removed#.  

Use of AI
We recognise that AI tools can be a helpful way to articulate your qualities, skills and experience when applying for roles. It's important to us, however, that we see the real you throughout the recruitment process. We hire real people, not polished personas! We simply ask that you consider carefully how and where you use AI during your application, so we can hear your own thoughts and meet your authentic self.

Please note we are unable to consider candidates requiring visa sponsorship at this moment in time. We won't be accepting speculative CVs from recruitment agencies, with a full PSL in place. 

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