Compliance Officer

Selby, £35,000 - £40,000 Permanent
Reference: P8JOB4995 | Specialist area: Finance | Sector: Finance

Pyramid8 have a fantastic opportunity for their client in Selby to join the team in a recently created Compliance role.

We are looking to speak to experienced Compliance candidates that have come from a regulated background.

This is genuinely a growing business who are looking for a Compliance Officer that is looking for stability and longevity.

Ideally you will have knowledge of an AR business model and a proven track record of using the FCA connect system.

Do you come from an Insurance or Financial background?  Do you have a proven track record of dealing with the FCA?  If yes, then I would love to speak to you.


The role:

  • Managing the on-boarding of Appointed Rep’s and approved persons with the FCA
  • Managing the termination process of AR’s leaving / ceasing to trade
  • Managing directory persons applications for registered individuals
  • Owning Annual review process with AR’s
  • Overseeing changes to websites / marketing materials
  • FCA Connect reporting
  • RegData reporting
  • Direct authorisation applications with the FCA
  • Overseeing file checking for regulated files
  • Delivering compliance on-boarding training
  • Owning and updating policies (TCF, AML etc…)
  • Dealing with potential conflict of interest queries from the network
  • All general day to day compliance questions
  • Developing a robust framework for overseeing all files for non regulated products
  • Review suitability reports for commercial deals
  • Ad-hoc FCA reporting (recent survey)


To apply for this role:

  • Have a proven track record of working within a regulated environment, specifically with the FCA
  • Experience of managing process and implementing new ones
  • Experience of working within a Compliance role





Free parking

Perk box

Flexible working


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