Compliance Officer - Financial Services

Appoint Personnel Ltd
09 May 2017
07 Jun 2017
Contract Type
Full Time

Compliance Officer - Financial Services

A new opportunity to join a small, friendly Compliance team based at the company’s Head Office in the centre of Bath.

The company offer a range of mortgages and savings products, through regional branches and agencies.

The Compliance Officer plays a key part in ensuring that the company meets all up to date compliance legislation.

The successful applicant will be responsible for a wide range of financial services matters, with particular focus on monitoring of the savings and treasury functions.

This will also include transaction monitoring, audits of Head Office departments, branches/agencies, as well as analysis of regulatory initiatives and oversight of their implementation.

There will also be some involvement in mortgage compliance.


  • You will need to be a team player, quick to learn, with an ability to meet challenging deadlines, whilst providing excellent customer service and working well under pressure.
  • Previous experience in financial services compliance/audit is essential.
  • Knowledge of savings and/or treasury compliance is desired, but not essential as full training will be given.
  • Level 3 Certificate in Mortgage Advice and Practice (CeMAP) qualification or similar, or must commit to obtaining it within an agreed timescale.
  • A good knowledge of Microsoft Office is essential.
  • Applicants must have a full driving licence and access to own transport, as the role will include occasional travel to agencies and industry/training events.

Salary c.£25,000pa, depending on experience. 23 days holiday (plus bank holidays), and other benefits, such as a money purchase pension scheme, life assurance cover and medical cash benefit insurance. Some benefits are subject to a minimum length of service.

Please note that we are only able to contact applicants that we view as suitable for the vacancy based relevant experience and skills. If you do not hear from us within 5 working days from your registration, please accept our apologies but we are unable to help you on this occasion.