Job Information
Senior Compliance Officer
JOB DESCRIPTION
Senior Compliance Officer
Reports To
Head of Compliance
Location
Hybrid Working
The Role
We are looking for a Senior Compliance Officer to join our growing Compliance team.
This is a broad and varied role which offers exposure across multiple areas of regulatory oversight, monitoring, operational compliance, and stakeholder engagement. The successful candidate will support the business in maintaining strong regulatory standards, delivering good customer outcomes, and embedding an effective culture of compliance throughout the organisation.
Working closely with the Head of Compliance and wider business teams, the role will involve a mixture of day-to-day compliance oversight, monitoring activity, project support, and regulatory change work. The successful candidate will also support oversight activity across Appointed Representatives and Directly Authorised firms.
This role would suit an experienced compliance professional who enjoys working in a fast-paced environment, managing varied responsibilities, and contributing towards ongoing compliance improvements across the business.
Key Responsibilities
The successful candidate will support a wide range of compliance activities across the business. This will include complaints handling and case management, responding to Financial Ombudsman Service referrals, and producing trend analysis and management information to support ongoing oversight and reporting activity.
The role will also involve supporting Consumer Duty monitoring and reporting, including outcomes monitoring, vulnerability oversight, MI analysis, and participation in ongoing working group activity to help ensure good customer outcomes remain embedded across the organisation.
A key part of the role will involve carrying out monitoring and oversight activity across financial promotions, websites, social media communications, mystery shopping exercises, quality assurance reviews, lender checks, and broader compliance monitoring activity. The successful candidate will also support BVRLA audit activity across Principal, Dealership, Appointed Representative, and Directly Authorised firms.
Responsibilities will include ongoing Appointed Representative and Directly Authorised oversight, including onboarding activity, due diligence reviews, monitoring, relationship support, and terminations where required. The role will also support operational compliance activity across systems, controls, processes, and regulatory reporting requirements.
Alongside core monitoring responsibilities, the role will contribute towards wider business projects and regulatory change initiatives, supporting the continued development of compliance processes, systems, reporting capabilities, and governance controls. This includes supporting ongoing maintenance and development activity within GOAT, including KRI tracking, monitoring, and reporting.
Additional responsibilities will include:
Supporting delivery of the annual Compliance Monitoring Plan
Assisting with thematic reviews and ad hoc monitoring exercises
Producing compliance reporting and management information
Responding to internal and external compliance queries
Supporting stakeholder engagement across multiple departments
Assisting with policy and procedure reviews and updates
Maintaining awareness of regulatory developments and emerging risks
Supporting a culture of compliance and good customer outcomes across the business
Undertaking additional compliance projects and ad hoc activities where required
Skills and Experience
The ideal candidate will have previous experience within a compliance role in a regulated environment and a good understanding of FCA requirements, Consumer Duty expectations, and broader regulatory oversight activity.
We are looking for someone with strong organisational skills, excellent attention to detail, and the ability to manage multiple priorities effectively. The successful candidate should be comfortable analysing information, identifying potential risks, and engaging constructively with stakeholders across all levels of the business.
Experience handling complaints, reviewing financial promotions, conducting monitoring activity, and supporting audit or oversight functions would be highly beneficial. Experience working with Appointed Representatives or within motor finance or financial services environments would also be advantageous. Leadership, mentoring, or supervisory experience would be beneficial.
An ICA qualification, or progress towards one, would be desirable but is not essential.
Why Join PPL?
At PPL, we offer a collaborative and supportive working environment with genuine opportunities to contribute, develop, and make an impact.
Our benefits include:
26 days annual leave plus bank holidays
An additional day’s holiday for each completed year of service, up to a maximum of 30 days
A dedicated wellness day
Private healthcare
Cycle to Work scheme
Hybrid working
Bonus scheme
Employee award schemes
Team building and social events
This is an exciting opportunity to join a growing business where compliance plays a key role in supporting positive customer outcomes and business success.
To apply, please email Helen with your CV using the link below.