<p>A diligent Compliance Officer ensures that an organisation adheres to laws, regulations and internal policies. This role protects the business from regulatory risk and reputational damage while promoting ethical standards. The Compliance Officer will work closely with legal, risk and business teams to implement robust compliance frameworks, monitor controls and deliver training across the organisation.</p>
<p>This job description outlines the core purpose, duties and required qualifications for a Compliance Officer. It is suitable for HR teams, recruiters and agencies seeking top candidates for compliance roles in regulated sectors.</p>
<h2>Compliance Officer Job Profile</h2>
<p>The Compliance Officer is responsible for developing, implementing and maintaining compliance programmes that align with regulatory requirements and corporate policies. They act as a point of contact for regulatory enquiries and coordinate responses to audits and inspections.</p>
<p>This profile suits candidates with strong analytical skills, attention to detail and a practical understanding of compliance risk. The role often requires collaboration with senior management to embed a culture of compliance across the organisation.</p>
<h2>Compliance Officer Job Description</h2>
<p>A Compliance Officer will assess and monitor regulatory developments relevant to the business, translating legal and regulatory requirements into pragmatic policies and procedures. They will conduct risk assessments, carry out compliance testing and report findings to the compliance committee or board as required. The role involves preparing regulatory filings and maintaining accurate compliance records.</p>
<p>The officer will provide guidance to business units on regulatory obligations, oversee training programmes and escalate breaches or incidents promptly. They may lead remediation projects, liaise with external regulators and ensure that systems and controls remain effective as the regulatory landscape evolves.</p>
<p>The Compliance Officer should be proactive in identifying control gaps and recommending improvements. They will also support due diligence for new products, clients or third-party relationships to reduce legal and regulatory exposure.</p>
<h2>Compliance Officer Duties and Responsibilities</h2>
<ul>
<li>Monitor and interpret regulatory changes and advise relevant stakeholders.</li>
<li>Develop, implement and review compliance policies and procedures.</li>
<li>Conduct risk assessments, compliance testing and control reviews.</li>
<li>Prepare reports for senior management, the compliance committee and the board.</li>
<li>Manage regulatory filings, inspections and responses to enquiries.</li>
<li>Deliver compliance training and awareness sessions across the organisation.</li>
<li>Investigate potential breaches, lead remediation, and ensure timely escalation.</li>
<li>Support onboarding due diligence for clients and third parties.</li>
<li>Maintain centralised compliance records and documentation.</li>
<li>Collaborate with internal audit, legal and risk teams to strengthen controls.</li>
</ul>
<h2>Compliance Officer Requirements and Qualifications</h2>
<ul>
<li>Bachelor's degree in law, business, finance or a related discipline.</li>
<li>Professional qualification or certification in compliance, risk or AML preferred.</li>
<li>Proven experience in a compliance, regulatory or risk role within a regulated industry.</li>
<li>Strong knowledge of applicable laws and regulations relevant to the sector.</li>
<li>Excellent analytical, report writing and communication skills.</li>
<li>Attention to detail and the ability to manage multiple priorities.</li>
<li>Experience in designing and delivering compliance training.</li>
<li>High ethical standards and the ability to influence at senior levels.</li>
<li>Proficiency in compliance monitoring tools and MS Office applications.</li>
<li>Ability to work independently and as part of a multidisciplinary team.</li>
</ul>