Senior Compliance Executive

£28,000 Permanent

Location: Stockport or Grimsby

Job Overview

About the Role:

Reporting to the Compliance Manager, the Senior Compliance Executive will form part of the Compliance Function. The Compliance Function will ensure the business complies with all applicable regulatory rules and regulation, by ensuring that correct advice is given to the business and agreed monitoring programs are undertaken, as delegated by the Compliance Manager.


Benefits of being our Senior Compliance Executive:

  • Excellent Basic Salary of £28,000
  • In depth Training and Development with the opportunity to progress your career
  • Incredible events and incentives including half yearly 5-star events, and the chance to go to Portugal
  • Shifts are between Monday - Friday 8.30-17.30

Requirements for our Senior Compliance Executive:  

  • A minimum of 3 years’ experience gained in a similar role within financial services.
  • An in-depth understanding of the FCA’s CONC sourcebook and a good understanding of the wider FCA handbook and regulatory framework that underpins the consumer credit industry.
  • A sound understanding of the Data Protection and Anti-Money Laundering legislation.
  • A track record of working in a regulated environment providing practical support and advice on risk and compliance related matters.

Responsibilities of our Compliance Executive:

  • Assist the Compliance Manager by ensuring the Business is compliant with all Regulations; and carry out regular monitoring and testing to ensure compliance is retained. 
  • Regular reviews of Company’s website and financial promotions (as part of the Company’s compliance monitoring programme) to ensure compliance with regulatory obligations and requirements.
  • Co-ordinating the company compliance training requirements, along side colleagues in the training function.
  • Assist the Compliance Manager with regulatory reporting and liaising with the Regulators including FCA, ICO, FOS and trade bodies.
  • Carrying out in-depth investigation work in connection with financial crime and working closely with third parties such as, NCA and Police to mitigate financial crime.
  • Assist the Data Protection Officer by complying with all statutory requirements applicable to this role; monitoring compliance with DPA and other data protection regulations.
  • Applying agreed processes and procedures to ensure complaints are investigated and resolved; ensuring communications with customers are clear, timely and accurate; ensuring adequate supervision and controls are in place to minimise the potential for customer detriment.

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