Compliance Officer

James George Recruitment is working with a well-established, FCA-authorised commercial finance broker to recruit a Compliance Officer. The firm arranges asset finance, business loans, car finance, cash flow finance and more for UK businesses.

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This is a varied, hands-on role where you’ll own the firm’s compliance framework from end to end. You’ll be the go-to person for the FCA and industry bodies, and you’ll help build a strong compliance culture as the business grows. You’ll report to the Operations Manager.

Key responsibilities

• Acting as main contact for the FCA, NACFB, SAF and other relevant bodies
• Managing FCA regulatory data submissions (monthly, quarterly and annual) and quarterly ONS returns
• Carrying out and documenting the annual Consumer Duty review
• Putting regulatory updates and handbook changes into practice
• Maintaining NACFB and SAF accreditation, including staff learning and renewal testing
• Designing and delivering compliance and fraud training, and keeping training records up to date
• Owning the firm’s policies, including an annual review cycle with Board sign-off
• Overseeing GDPR, including SARs, consent, privacy notices and a new Data Retention Policy
• Supporting audits, onboarding of new staff and compliance set-up for introducers and Appointed Representatives
• Managing relationships with third-party credit agencies

About you

• Strong working knowledge of FCA regulation xwwtmva in a financial services setting
• Experience with regulatory reporting, audits and industry accreditations
• Practical understanding of GDPR and data protection
• Able to turn regulatory guidance into practical processes
• Highly organised, with excellent attention to detail
• A confident communicator with regulators and colleagues at every level
• Experience with NACFB, SAF or Consumer Duty, or of delivering compliance training, would be a real advantage

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