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Risk and Compliance Officer

Banks Only


Immediate Opportunity
Risk and Regulatory Reporting 
Salary £50 - 60,000 pro rata
This role has a direct reporting line to the Compliance Manager, however, the Head of Risk and Regulatory Compliance has the overall responsibility of the department. The Job Holder will assist the Compliance Manager in mitigating the regulatory compliance risks inherent in the bank’s Business. Support and contribute to a positive Regulatory compliance culture within the bank. The job holder will be specifically responsible for:
  • Report any deficiencies in the Bank’s policies or practices in relation to Compliance to the Compliance Manager and where applicable to the Head of Department.
  •  Analyse and keep up to date with regulatory changes and new rules from the FCA, PRA and PSR and educate the business on these.
  • Contribute to the enhancement of the Bank’s risk based approach to Compliance Monitoring.
  • Propose amendments and enhancements to policy and procedures and implement these amendments and enhancements.
  • Report any breaches in the Bank’s policies or procedures and any Regulatory breaches.
  • Assisting in the production of Compliance reports to be reviewed at Senior Management and Board Director level.
  • Providing such other assistance to the Compliance Manager as may be required.
  • Exhibit a thorough knowledge and understanding of the FCA handbook and the PRA Rulebook.
  • Execute the Bank’s Regulatory Compliance monitoring programme.
  • Assist with the design of the Compliance monitoring programme; producing reports and making recommendations; identifying compliance risks associated with the business activities of the bank and proposing mitigation.
  • Follow up on resolution of Compliance issues that may arise from monitoring and any remediation required with clear recommendations and timelines.

The Bank wishes, and is obliged by FCA regulations, to use all reasonable efforts to deliver good outcomes for its retail customers. To the extent that this role includes any interaction whatsoever with retail customers, or the design, marketing or delivery of products or services used by retail customers, the incumbent must familiarise themselves with the Consumer Duty policy as updated from time to time.


  • A degree-qualified Banker with minimum 2 years of Regulatory Compliance experience within a UK regulated financial institution.
  • · Knowledge and understanding of UK regulatory environment including BCOBS and MCOBS.
  • · Experience of credit, market, and operational risk and/or risk administration processes desired.
  • · Strong numeric and analytical skills.
  • · Advanced Microsoft Office skills, particularly Excel. Excellent communication skills, both written and oral.

Job Overview

Job Title:

Risk and Compliance Officer


London, UK


Banks Only



3 weeks ago

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