Compliance & Risk Officer




Anita Dale


North Yorkshire


Banking / Financial Services / Insurance


Up to 33 days holiday, flexihours, holiday buy scheme, staff discount, onsite creche, free parking, govt pension etc

Start Date

Compliance & Risk Officer sought by a leading premium financial services company based near York. A market leader with the majority stake in their field with a growing international presence, this is a unique opportunity to join at an exciting phase of growth for the company.

The Role:

You’ll assist the Compliance & Risk Manager in compliance and risk governance to enable the business to meet its regulatory responsibilities and ensure that activities are carried out within the regulatory framework. Your duties will include:

  • Perform risk assessments to understand the level, significance and scope of risk
  • Monitor compliance with laws, regulations and internal policies
  • Investigate irregularities and non-compliance issues
  • Report back to business functions on current risk and compliance performance
  • Ensure your findings are recorded & followed up with management so issues can be rectified
  • Educate employees on regulations and the impact to the company if not complied with
  • Highlight or escalate areas of concern
  • Review marketing materials, presentations and websites to ensure regulatory compliance
  • Assist in gathering internal information in response to regulatory requests
  • Assist in redesigning the 1st and 2nd line Risk Reporting
  • Assist in advising and coaching to 1st line on their risk reporting
  • Contribute to robust and effective compliance controls within the organisation
  • Assist with the Risk Management Information System (RMIS) Installation, upload of Risk Data, training, and test usage and provide continuous support to users of the RMIS
  • Create a list of Users and create log in details and test their access
  • Assist with the roll out of training to all users
  • Data collation and analysis and reviewing management information
  • Risk and control self-assessments (RCSA)
  • Keep up to date with, and understand, relevant laws and regulations

The successful Compliance & Risk Officer should have the following:

  • Previous experience in a similar role would be ideal but isn’t essential
  • Keen interest in the Regulatory industry
  • Capable of working with numerical information, with analytical and problem solving skills
  • Able to analyse and interpret information
  • Excellent time management skills and attention to detail
  • Interpersonal skills and the ability to work well with people at all levels
  • Integrity and discretion when handling confidential information
  • Excellent verbal and written communication skills
  • Able to prioritise work and work well under pressure

In return for your hard work you’ll be rewarded with:

  • Circa £23,000 depending on experience
  • Up to 33 days’ holiday with service (including bank holidays)
  • Salary sacrifice holiday scheme
  • Excellent flexible working arrangement
  • Onsite crèche
  • Staff discount
  • Government pension
  • Free nights out and events
  • Free parking
  • Free hot drinks
  • Free workwear

Compliance & Risk Officer

York, North Yorkshire – commutable from Harrogate, North Leeds, Wetherby, Ripon, Tadcaster, etc

Circa £23,000 salary + benefits




North Yorkshire


United Kingdom


21000 - 30000

Job Type:



Full Time

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