Compliance Specialist, Finance & Banking

Job description

Join our dynamic team as a Compliance Specialist and play a vital role in ensuring regulatory excellence across our investment management operations. This is your opportunity to contribute to a forward‑thinking organization committed to upholding the highest standards of compliance, risk oversight, and regulatory integrity within a rapidly evolving financial landscape. You will provide expert second‑line compliance services, support governance processes, and collaborate closely with senior stakeholders to embed a strong compliance culture.

Location:

Hybrid – 3 days per week in Leeds

• Support the Risk & Compliance Director in developing and delivering the Compliance Plan
• Carry out risk‑based monitoring and assurance activities, including thematic reviews and outcome testing
• Provide clear, practical compliance advice to business teams
• Recommend and track control improvements, ensuring actions are completed on time
• Work with stakeholders across the business to improve understanding of regulatory requirements, financial crime risks and data protection obligations
• Help identify and manage conduct risk, supporting a strong customer‑focused culture
• Review new regulations and help implement regulatory change programmes
• Build strong working relationships with operational teams and key stakeholders
• Support with FCA visits, reviews, and regulatory requests, ensuring a high‑quality response

• Salary up to £60,000
• Bonus scheme – on target bonus, 10%
• Pension – contribute 5%, company matches with an additional 5%
• Critical illness cover
• Income protection
• Life assurance – 4× salary
• 27 days holiday + bank holidays
• Option to buy up to 10 extra days leave
• Flexible benefits including private medical insurance, dental insurance and more

• Experience in a 1st or 2nd line compliance role within Financial Services
• Level 4 qualified
• Strong understanding of compliance monitoring techniques and regulatory requirements
• A curious eye with the ability to think outside of the box
• Excellent organisation skills, with the ability to maintain accurate records and audit trails
• Strong problem‑solving, judgement, and decision‑making skills