Compliance Officer
Core
Second Line of Defence Compliance Officer providing regulatory advice and risk-based monitoring oversight for CMC's UK regulated firms.
Role type
Senior IC Compliance Officer (Second Line of Defence)
Builds
Effective UK Compliance function, regulatory frameworks, and risk management programmes
Domain
Financial Services / UK Regulation (FCA)
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
FCA regulatory knowledge (COBS, SYSC, CASS, PRIN), regulatory compliance/monitoring experience, data analysis, policy drafting, stakeholder management, remediation tracking
Preferred skills
Experience with Internal/External Auditors, commercial change project support, Consumer Duty obligations
Technologies
Microsoft PowerPoint, Excel, Word
Responsibilities
Provide day-to-day regulatory advice to the business; Support the delivery and development of the Compliance Risk Assessment and risk-based Compliance Monitoring Programme; Assist with monitoring, testing, and thematic reviews including file reviews and data analysis; Act as Compliance stakeholder or lead for key commercial, regulatory change, and new product initiatives; Support responses to regulatory, audit, and third-party information requests; Draft clear working papers, policies, review reports, and governance reporting; Track remediation actions and support follow-up testing; Promote a strong compliance culture including Consumer Duty obligations; Keep up to date with regulatory and legislative changes and update relevant frameworks.
Seniority
Senior, hands-on IC