We are supporting a well-established financial services business in the City of London with the appointment of a Compliance Officer.

The role sits within a collaborative compliance function and will work closely with the Head of Compliance and front-line teams to provide regulatory advice, oversight and assurance. The position plays a key role in ensuring the business operates in a compliant, legal and ethical manner, with particular focus on conduct risk, customer outcomes and complaint handling in line with Consumer Duty.

• Investigate and respond to customer complaints in line with Consumer Duty, FCA regulation and internal policy.
• Liaise with the Financial Ombudsman Service (FOS) on referred complaints.
• Provide regulatory advice and guidance to first-line teams across the business.
• Support periodic reviews of policies, procedures and internal controls to ensure ongoing regulatory compliance.
• Contribute to thematic reviews, file audits and call monitoring in line with the risk-based Compliance Monitoring Plan.
• Prepare compliance monitoring reports for internal governance forums.
• Collate, analyse and maintain compliance and conduct-related management information.
• Identify and investigate potential financial crime risks, including fraud and money laundering, analysing financial data to detect suspicious activity.
• Support regulatory reporting requirements.
• Assist with the delivery of colleague training under the Training & Competence framework.
• Undertake additional duties as required by the Head of Compliance.

• Previous compliance experience within financial services, ideally within secured lending or mortgages.
• Strong complaint handling, investigation and problem-solving capability.
• Confident working independently and collaboratively within a team environment.
• Excellent communication and relationship-building skills, with the ability to engage stakeholders at all levels.
• Highly organised, with strong planning skills and attention to detail.
• Proactive, with a strong work ethic and a desire to develop within a compliance function.

Essential:

• Working awareness of the FCA regulatory framework and supervisory approach.
• Understanding of Consumer Duty principles.

Desirable:

• Experience within first or second charge mortgage markets.