Compliance Officer

Compliance Officer

Our client is one of the UK’s leading direct sales and fundraising agencies which has been in business for almost 40 years. They are looking to recruit a Compliance Officer. In this role you will be responsible for the management of the day-to-day compliance functions of the company to ensure it, and its suppliers, are operating to all applicable legal and regulatory compliance requirements.

You will work closely with other departments and suppliers to ensure a cohesive and holistic approach is taken by the business to achieve excellent standards of quality assurance.

Key Responsibilities:

• Performing routine risk assessments to help company stakeholders and suppliers understand compliance risk, scope and significance
• Monitoring the company’s (and supplier network) compliance with regulations and internal policies to ensure they are up to date with the relevant laws
• Conducting due diligence checks on potential new suppliers
• Conducting internal company audits, and external on suppliers, on applicable sector regulation and code of practice requirements
• Keeping up to date with all applicable and regulatory requirements
• Recording all findings properly and following up with management and other stakeholders to ensure any issues are rectified
• Reviewing marketing materials, websites and presentations to ensure compliance with regulations and applicable codes of practice
• Educating employees and suppliers on compliance regulations and the impact of non-compliance on the company and supplier network
• Leading on complaints from regulators and in the gathering of information internally in response to requests by regulatory organisations
• Leading on complaints relating to supplier potential contractual breaches
• Collaborating with management from other departments and consultants to ensure consistency with compliance and investigation processes
• Performing administrative tasks such as file creation and maintaining files of ongoing matters

Knowledge, Skills and Attributes Required:

• At least 3-4 years’ experience within a Compliance Officer role (ideally within a fundraising or selling environment)
• Excellent ability to understand and apply laws and regulations relevant to the needs of the business
• Excellent analytical and problem-solving skills, time management and prioritisation
• Excellent communicator and relationship builder
• Strong attention to detail
• Ethical decision-making and courage of conviction
• Proven ability to work effectively under pressure
• Highly flexible and adaptable
• Computer literacy, including Word, Excel, PowerPoint, Teams, Outlook

Hours of work

Normal hours of office-based work are 09:00am to 5:00pm, with a 45-minute break for lunch. Hours will need to be flexible due to the nature of the job. Travel is required to supplier premises for meetings and the performance of audit inspections and attending client meetings as necessary.

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