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Compliance Officer, Finance & Banking

Job in Leeds, West Yorkshire, ME17, England, UK
Listing for: Broadgate
Full Time position
Listed on 2026-06-02
Job specializations:
  • Finance & Banking
    Risk Manager/Analyst, Regulatory Compliance Specialist, Financial Compliance
Salary/Wage Range or Industry Benchmark: 80000 - 100000 GBP Yearly GBP 80000.00 100000.00 YEAR
Job Description & How to Apply Below

Compliance Officer

A well-established financial services organisation is seeking to hire an experienced Compliance Professional (2

LoD). This role ensures that business activities are carried out within the regulatory framework while embedding Consumer Duty principles and maintaining a strong culture of compliance and customer focus.

Responsibilities
  • Provide compliance advice and consultancy to business areas, promoting good conduct and customer outcomes.
  • Support regulatory interactions, including visits, thematic reviews, and information requests.
  • Prepare high-quality reports and present findings to senior management, recommending control improvements.
  • Support the development and implementation of the Compliance Plan through risk‑based monitoring and assurance activities.
  • Conduct compliance audits and risk assessments to evaluate internal controls and identify emerging risks.
Experience & Qualifications
  • Level 4 DipFA Qualified or working towards
  • Proven experience in a 2

    LoD compliance role within the financial services sector. Happy to consider people moving from 1st line into 2nd line
  • Strong understanding of FCA regulations, conduct risk, and relevant handbooks (e.g., COBS, SYSC, T&C)
  • Up to date knowledge of the regulatory landscape and emerging industry risks
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