Compliance Officer

Examine, evaluate, and investigate eligibility for or conformity with laws and regulations governing contract compliance of licenses and permits, and perform other compliance and enforcement inspection and analysis activities not classified elsewhere.

Compliance Officer Job Description Template

Our company is looking for a Compliance Officer to join our team.


  • Preparing the annual Risk Assessment Survey and analysing results to assess compliance training and communication priorities;
  • Develop and roll out compliance education and training materials, including effective business communication plans for awareness-raising;
  • Responding to requests relating to the Code of Business Conduct and Ethics;
  • Carry out other duties and projects as and when required;
  • Regulatory advice and guidance where needed;
  • Financial Crime checks and sanctions screening;
  • Managing and collating compliance data to report to the board;
  • Reviewing and auditing client files and ledgers;
  • Support teams on the regulatory framework, including, research and training on regulatory rules;
  • Assist Marketing with Broker due diligence;
  • Support Compliance Managers with design and delivery of compliance training and communications;
  • Confirming file and compliance updates for example right to work documents;
  • Assist with review and sign-off for relevant documents and processes, including all financial promotions;
  • Collate and input data required for monthly Conduct Risk Dashboard;
  • Co-ordinate and facilitate training on risk and compliance to all staff.


  • experience of working in a high volume-processing environment;
  • Latest in-depth knowledge of “Supply of Machinery (Safety) Regulations;
  • To ensure all working candidates are fully referenced, specific to contractual requirements for each managed vendor;
  • Integrity and accountability;
  • Ideally educated to degree level or appropriate qualification (ICA);
  • Ensuring all working candidates are eligible to work in the UK, regularly liaising with the UK Border Agency;
  • Previous experience of working on a large construction project preferably within the Nuclear Industry would be an advantage;
  • To assist Compliance Team Leader to prepare for upcoming audits when necessary;
  • Ability to work independently and be proactive;
  • Experience of contributing to user-friendly operator manuals;
  • Able to work under pressure;
  • Experience of the financial services industry- preferably in consumer credit;
  • Excellent IT skills including windows based software in particular excel;
  • Good telephone manner;
  • Typically qualified in a Science or Engineering discipline.