Average Compliance Officer salary in the UK

This vital role supports this Insurance Group with its responsibilities to comply with Regulatory requirements, internal policies and procedures and meeting the expectations of business partners through due-diligence requests and audits. Indicative of the importance of this role to the business, this is an additional role to support the Compliance Manager. As Compliance Officer you will support our rapidly growing Insurance Client who provides underwriting and claims services. It is possible to work on a hybrid basis, balancing between working at home and in the office. There may be a requirement to travel occasionally to other offices in the UK and overseas. The main tasks of the Compliance Officer role include: Identification, monitoring and mitigation of compliance, and data protection risks across the business.Compliance monitoring reviews in accordance with the annual compliance monitoring programme.Audits and risk assessments to help the business understand compliance risk, scope, and significance.Review and provide feedback to the business on breaches and incidents.Support the review, maintenance, and organisation of related compliance policies and ensuring the policies are up to date with the relevant laws.Collaborate with Stakeholders to help create a culture of compliance.Provide real-time compliance advice, with regards to the rules, regulation and internal policies that govern the business.Prepare compliance related Management Information for Senior Management.Undertake business reviews to determine compliance with data protection regulations, data security and other related areas, recommending process improvements.Draft and review data protection-related documents and contracts, as required.Provide knowledge and understanding to train, coach, and support employees on data protection compliance requirements, where required. To be successful as Compliance Officer you will demonstrate: Compliance experience within the Insurance or Financial Services Industry.Good understanding of relevant legislation including the UK GDPR.Ability to simplify and effectively communicate applicable legislation, regulations, and policies.Critical problem solving ability.Excellent verbal and written communication and the ability to challenge at all levels.Ability to build relationships with other Business Units.Strong report writing and presentation skills.

Our client is a fast-growing and highly successful global brokerage, recognised for its dynamic, high-performance environment and strong market presence in retail and institutional trading. As part of their continued growth, they are seeking Compliance Officers to join the team and support the firm’s robust compliance framework across a broad range of products, including CFDs, oil swaps, derivatives, and CASS. These roles are ideally suited to individuals with experience in retail brokerage or trading environments, comfortable working in an office-based, high-intensity setting from 8 am to 6 pm. Key Responsibilities Perform daily compliance monitoring and surveillance activities across retail and institutional business lines Handle account opening reviews, ensuring thorough KYC and AML checks in line with FCA requirements Maintain accurate records and documentation to support regulatory reporting and internal audit readiness Support ongoing transaction monitoring and escalate suspicious activities as appropriate Assist in drafting, reviewing, and maintaining compliance policies and procedures Contribute to regulatory reporting processes and respond to regulatory requests Collaborate with other departments to promote a strong culture of compliance throughout the business Carry out routine, process-driven compliance tasks critical to daily operations Key Requirements Experience in a compliance role within an FCA-regulated environment, ideally in a brokerage or trading firm Background in one of the following areas: Retail trading, with knowledge of CFDs and similar products Trading operations, ideally with exposure to energy derivatives (oil experience a plus but not essential) Strong attention to detail and ability to manage high volumes of operational tasks Good understanding of FCA regulatory requirements including KYC, AML, FOS, and TCF Comfortable working in a high-paced environment with tight deadlines Excellent communication and organisational skills Why Join? Join a market-leading global brokerage with ambitious growth plans Gain exposure to a wide range of products and regulatory topics Work alongside experienced professionals in a collaborative, high-performance environment Flexible engagement: opportunities available on either a day-rate contract basis or fixed-term contract, depending on preference This is an excellent opportunity for compliance professionals looking to deepen their experience in a fast-paced trading environment and contribute to a firm renowned for its global reach and strong market position.

Job Title: Compliance Officer / File Checker Location: Office based - Warrington (Possibility of hybrid working, depending upon experience) Employment Type: Full-time Salary: Competitive, dependent on experience Overview: A well-established and trusted Chartered Financial Planning Firm, that prides itself on delivering high-quality, bespoke financial advice to individuals and businesses. Its commitment to professionalism, client care, and ethical practices has helped it build a strong reputation in the financial services industry. It is now looking for a Compliance Officer / File Checker to join its dedicated team to ensure that all processes are fully compliant and in line with regulatory requirements. Compliance / File Checker Role Overview: As a Compliance Officer / File Checker, you will be responsible for conducting thorough file reviews to ensure all client files meet the required regulatory, compliance, and internal standards. You’ll work closely with our advisory and operational teams to identify potential areas for improvement and ensure a smooth and compliant workflow for the business. This role is key to maintaining our high standards of client care and adherence to financial regulations. Compliance / File Checker Key Responsibilities: Review client files, ensuring all documents are complete, accurate, and compliant with FCA regulations and internal procedures.Conduct pre- and post-advice file checks to ensure suitability, risk management, and quality standards are met.Ensure all client files are documented correctly for audit and regulatory purposes.Identify and escalate any compliance concerns, ensuring timely resolution.Assist in the development and implementation of compliance policies and procedures.Monitor and keep up to date with regulatory changes to ensure the business remains compliant.Provide support and guidance to the advisory team on compliance-related matters.Collaborate with other departments to implement improvements to compliance systems and processes. Compliance / File Checker Requirements: Previous experience as a Compliance Officer, Compliance Administrator, or similar role within financial services (preferably in a Chartered or IFA environment).Solid understanding of FCA regulations, financial planning processes, and industry standards.Excellent attention to detail with the ability to identify and resolve compliance issues.Strong organisational skills and the ability to manage multiple tasks simultaneously.Ability to communicate effectively with different teams and stakeholders.Proficient in using financial planning software and MS Office (Word, Excel, Outlook).A proactive, self-motivated individual who can work independently and as part of a team. What’s on Offer: Office based (Hybrid available based on experience)Competitive salary with benefits package.Professional development and study support (including funding for relevant qualifications).A supportive and professional work environment with opportunities for career progression.Access to a strong network of experts within a well-respected firm.