Compliance Executive

About the Role

We are supporting a fantastic business in search of 2x Compliance roles - Senior Compliance Executive & a (12 month FTC) Compliance Executive - The purpose of the role will be to support the operational team on regulatory matters. Ultimately as a Compliance specialist you will provide effective insight and implement important risk mitigation for the business.

Permanent - Senior Compliance Executive £40-45k
FTC - Compliance Executive £30-35k (this role has the opportunity of going PERM)

Responsibilities include:

  • Oversee the Compliance Approvals for the business to ensure requests are dealt with in line with internal SLAs.
  • Provide Compliance sign off for financial promotions and external communications.
  • Record and conduct initial assessment of all data protection breaches, esculating serious breaches to the Data Protection Officer within the business, and providing recommendations, where appropriate to senior management & line manager.
  • Respond to all rights requests, inside statutory timeframes, in line with procedures.
  • Support the Compliance Team in the delivery of the Compliance Activity Plan
  • Assist with Compliance Monitoring.
For the senior role you will also hold a dotted line across the Compliance Executives.

Essential skills:
  • Experience working within compliance, risk & governance role in the financial sector. 
  • Well-developed understanding of - FCA/ ASA/ CAP regulations
  • Experience of managing people, and a minimum of 2 years’ experience within a quality role within a call centre environment
  • Ability to manage multiple quality projects simultaneously.
  • Proven track record in coaching and mentoring.
  • Excellent verbal and written communication skills
If you are interested or want to know more about these opportunities, then please get in contact 07753 432 891 or

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