Compliance Assurance Officer

Responsibilities

• Support the Head of Compliance by providing practical advice and guidance on UK laws, regulations and regulatory expectations.
• Assist with the delivery of risk-based compliance monitoring programmes, including testing controls, identifying issues and preparing reports.
• Support the implementation of changes to internal policies and procedures arising from new or updated legislation and regulation.
• Help assess the effectiveness of the Branch’s compliance and conduct risk controls, ensuring they remain proportionate to the business.
• MI & Reporting: Prepare compliance management information, reports and analysis for senior management and Internal Audit, including data visualisation where appropriate.
• Risk & Issue Management: Maintain compliance registers, document identified risks and track agreed actions through to completion.
• Provide general administrative and operational support to the Compliance function and assist the Head of Compliance with ad-hoc projects and tasks.

The candidate

• 5+ years’ experience in a regulatory compliance role within a small or medium-sized bank.
• Strong understanding of general compliance activities and risk management frameworks.
• Good knowledge of UK regulation, with the ability to develop and maintain proportionate compliance systems and controls.
• Experience leading or supporting compliance and regulatory projects.
• Strong Microsoft Office skills, including producing reports, analysing MI/data and creating effective visualisations.
• Degree or equivalent demonstrating strong analytical and written reasoning capabilities.