Compliance Officer

Overview

In this Second Line of Defence role, you will support the UK Compliance function across CMC’s regulated firms by delivering regulatory advice and risk-based monitoring oversight. You will help embed obligations, contribute to a risk assessment and monitoring programme, and work with cross-functional teams on regulatory change, new product initiatives and governance reporting. You will promote a strong compliance culture and help deliver good customer outcomes, including Consumer Duty obligations. This is a collaborative, impact‑driven position at the heart of UK regulatory compliance.

Responsibilities

• Provide day-to-day regulatory guidance to ensure activities meet regulatory obligations
• Assist with the Compliance Risk Assessment and risk-based Monitoring Programme
• Conduct monitoring, testing, thematic reviews, file sampling and data analysis to identify issues and improvements
• Lead or participate as Compliance stakeholder for regulatory change and new product initiatives
• Support responses to regulatory, audit, counterparty and third-party requests
• Prepare working papers, policies, reports, MI and governance materials
• Track remediation actions and perform follow-up testing
• Foster joined-up relationships with business, support functions, and second-line stakeholders
• Collaborate with broader Compliance team to share best practices and strengthen the framework
• Promote a compliance culture and embed Consumer Duty obligations
• Keep frameworks and policies up to date with regulatory changes
• Suggest enhancements to improve efficiency and effectiveness of the UK Compliance Framework
• Maintain personal and professional development through relevant regulatory training
• Provide professional, confidential, and consistent service to clients and stakeholders
• Undertake other duties consistent with role level

Key requirements

• Experience in a non-AML regulatory compliance/monitoring role
• Solid knowledge of FCA rules (COBS, SYSC, CASS, PRIN etc)
• Advanced proficiency in PowerPoint, Excel and Word with data analysis and documentation skills
• Experience working with internal/external Auditors
• Ability to work under pressure and handle competing priorities
• Strong attention to detail and willingness to learn
• Clear written and verbal communication
• Analytical and problem-solving mindset
• Excellent organisational skills
• Ability to work independently on tasks

• Stakeholder relationship management
• Effective written and verbal communication
• Attention to detail
• FCA regulatory knowledge (COBS, SYSC, CASS, PRIN)
• Microsoft PowerPoint
• Microsoft Excel

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