Regulatory Compliance Officer - Permanent


Contract Type:


Recruiter Name:
Darren Winter


Regulatory Compliance Officer
Northwich Cheshire

Our client, a reputable Bank based in London, are seeking a Regulatory Compliance Officer with a broad compliance knowledge and understanding of the FCA Conduct of Business Sourcebook. 

If you have the relevant experience, then please contact Darren Winter straight away. 

Responsibilities of the Regulatory Compliance Officer will include but not limited to:

  • Create reports to the senior management of the firm relating to the efficiency of regulatory compliance as directed by the Risk and compliance Director. 
  • Accountable for confirming the Bank’s systems and Controls meet or exceed obligatory regulatory compliance standards. 
  • Offer advice on regulatory issues on areas of responsibility to all areas of the Bank’s business. 
  • Monitor adherence to the firm’s compliance with regulations as directed by the Risk and compliance Director. 
  • Support with regulatory filings with the FCA and other regulators as required. Preserve the Firm’s FCA Approved Persons Registrations. 
  • Aiding in preparation for External/Internal Audits/Client Visits. 
  • Monitor and review regulatory changes from the PRA/FCA and other relevant regulators, perform initial gap analysis and help implement and changes where essential.  
  • Manage compliance/contingency/risk issues within own area of control and for the Bank. 

What you need to be our clients next Regulatory Compliance Officer:

  • Outstanding communication skills both written (including report writing) and verbal  
  • Demonstrable knowledge in the core areas of regulatory compliance gained with a financial services establishment. 
  • Assurance to work with senior members of staff. 

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Consultant's Name
Darren Winter

Industry Experience
I am a senior Compliance recruitment specialist with 20 years experience in recruitment. I support many clients and candidates across the permanent, contracting and temporary Compliance & Regulation sector.

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