Risk and Compliance officer

Risk and Compliance officer Job Description Template

Our company is looking for a Risk and Compliance officer to join our team.


  • Advise on effectiveness of procedures and controls in relation to mortgages and home insurance sales;
  • Ensure that staff receive the necessary feedback and guidance to improve accuracy, productivity, quality and overall work standards;
  • Ensure good communication with staff so they are always aware of changes which affect their role;
  • Undertake role play and real-time evidence of statutory compliance for mortgages and home insurance;
  • Escalate and report back non-compliance areas in a timely manner;
  • Develop and maintain clear strategy to ensure compliance within mortgages and home insurance and effective level of service is maintained;
  • Ensuring all compliance policies and procedures are clearly defined and proactively communicated;
  • Identifying, assessing and managing compliance risk within the business, while meeting regulatory standards and requirements;
  • Supporting the Head of Compliance when required;
  • Building and maintaining effective working relationships with the senior stakeholders;
  • Keeping abreast with all regulatory and legislative changes that impact the business;
  • Supporting internal & external audits, providing advice, training and guidance to the business on regulator matters;
  • To work with each department and the various business units to provide support,
  • Reviewing financial promotions and undertaking reviews of Self Sign-Off (SSO) promotions;
  • Providing support in ensuring AML and GPDR arrangements are in place. Investigate and submit reports as relevant.


  • Produce reports and returns which may involve detailed research and analysis from;
  • Ensure all compliance principles, policies and procedures are clearly defined and.