Compliance Officer

Job Description:

Our client, a well-established financial services firm, has an exciting opportunity for a Compliance Officer based in their office in Newcastle.

As a Compliance Officer, you will support the delivery of the Compliance strategy through a range of operational and analytical activities.

You will contribute to the identification and assessment of compliance risks, regulatory developments and the ongoing improvement of compliance processes and controls.

• Good knowledge of financial services regulation and compliance principles.


• Strong analytical and attention-to-detail skills.


• The ability to interpret regulatory information and apply it practically.


• Effective written and verbal communication skills.


• Strong organisational skills and the ability to manage competing priorities.


• Working knowledge of compliance tools and systems.


• Working knowledge of SMCR requirements, or the ability and willingness to develop this knowledge.


• A proactive approach and genuine willingness to develop regulatory knowledge and expertise.

• Supporting the effective delivery of compliance activities through efficient processes and systems.


• Assisting with compliance-related metrics, reporting and tracking where required.


• Supporting regulatory horizon scanning by identifying, tracking and summarising relevant regulatory developments.


• Contributing to assessments of the potential business impact of regulatory developments and escalating key changes for review and action.


• Supporting policy review and maintenance, including tracking required updates and coordinating input from relevant stakeholders.


• Assisting with monitoring, testing and assurance activities.


• Maintaining compliance registers, logs and tracking tools, including those relating to breaches and regulatory developments.


• Supporting the interpretation and application of relevant legal and regulatory frameworks, including FCA requirements and SMCR responsibilities where applicable.


• Supporting compliance training and awareness activities.


• Acting as a reliable point of contact for routine compliance queries.


• Escalating issues and findings in a timely manner.


• Contributing to the development of a positive compliance culture across the organisation.

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

At Core-Asset, we're committed to protecting and respecting your privacy.

Our privacy statement explains when and why we collect personal information about people who engage with our services, how we use it, the conditions under which we may disclose it to others, and how we keep it secure.

We may change this policy from time to time, so please check this policy occasionally to ensure that you're happy with any changes.

By engaging with us (either by applying for a job we're advertising, registering through our website, or getting in touch with our business) you're agreeing to be bound by this policy.

Core-Asset Consulting is committed to protecting the privacy of our candidates, clients and website users.

For further information, please refer to our full Privacy Statement available on our website http://www.core-asset.co.uk/about-core-asset/privacy-statement

Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.