74 Regulatory Compliance jobs in the United Kingdom

Job Title: Regulatory Compliance Officer
Location: Hybrid - Castle Donington or Bristol (initially more office-based for training, then minimum 2 days/week - Monday is team anchor day)
Contract Length: 6 months initially (potential for extension)
Rate: 25.50 per hour PAYE

About the Role

A newly formed regulatory compliance team is seeking a proactive and detail-oriented Regulatory Compliance Officer to support the handling of escalated customer complaints. This role involves independently reviewing complex cases, preparing formal responses, and compiling case files for external regulatory bodies.

The successful candidate will play a key role in ensuring the organisation meets its regulatory obligations while maintaining high standards of customer service and accountability.

Key Responsibilities

• Manage complaints escalated to Stage 3 and Stage 4 of the formal complaints procedure.
• Gather and assess information from internal systems and colleagues to build a comprehensive timeline of events.
• Independently determine whether the organisation's position should be upheld or overruled and propose remedies where appropriate.
• Draft and issue Stage 3 letters to customers, either offering a resolution or placing the case in "deadlock".
• Prepare structured case files for submission to external regulators, including timelines, evidence, and the organisation's final position.
• Maintain accurate records of escalated complaints, including outcomes and regulatory findings.
• Support the wider Regulatory Compliance Team with related duties as required.

Skills & Experience

• Strong written communication skills, with the ability to produce clear, concise, and professional correspondence.
• Proven ability to interrogate qualitative information, assess complex scenarios, and make sound decisions.
• Experience in complaint handling, regulatory compliance, or customer resolution roles.
• Highly organised, with excellent attention to detail and the ability to manage multiple cases simultaneously.
• Comfortable working independently and taking ownership of outcomes.
• Background in a regulated industry (e.g., utilities, telecoms, financial services).
• Familiarity with regulatory frameworks such as the Electricity Act, licence conditions, or regulator guidance.

Please note: Due to the high volume of applications, only shortlisted candidates will be contacted. If you do not hear from us within 48 hours, your application has not been successful on this occasion. However, we may retain your details for future suitable opportunities.

Pontoon is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace. We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more. We do this by showcasing their talents, skills, and unique experience in an inclusive environment that helps them thrive. If you require reasonable adjustments at any stage, please let us know and we will be happy to support you.

Sponsorship will not be available for this position, therefore 3+ years on visa eligibility to work in UK is essential.

Our client, a highly respected Bank, is seeking a Manager – Regulatory Compliance to join their team on a permanent basis.

This position forms an integral part of 2nd Line of Defence and the successful candidate will also be performing regular and comprehensive compliance risk assessments according to the approved compliance plan, report on a regular basis on compliance identified breaches and corrective actions taken, as applicable.

Under direction, draft the Scope of Regulatory Compliance oversight as part of the annual plan and adhere to the plan by performing reviews and following up on outstanding actions.

Responsibilities (but not limited to):
•    Determine the processes and sub-processes, including input, processing and output.
•    Perform an end-to-end review of each process and determine relevant risks and controls.
•    Undertake root-cause analysis to address and mitigate the identified risks and recommend adequate remedial action.
•    Facilitate controls gap analysis, remediation planning and testing for all business units.
•    Ensure that the controls are efficient and effective, thus maintaining risks at an acceptable level.
•    Ensure that the processes are in compliance with regulatory requirements and best practices, at governance, oversight and operational levels.
•    Provide counsel and advice to the various functions in view of enhancing the control structure.
•    Review the branch’s policies, procedures and systems, before implementation, in order to assess the inherent risks, determine sufficiency of controls, and convey approval.
•    Undertake a continuous Control Self-Assessment exercise.
•    Maintain an updated Compliance Risk Register detailing the determined Compliance risks.

Qualifications and Skills:
•    University graduate preferably with a Major in Marketing, Banking, Finance, Accounting, Economics, Business Administration or Information Technology (related field of study).

•    CeMAP qualified.
•    At least 6 years of relevant experience, preferably in banking within a highly rated international bank. Also experience with regulated mortgages, savings accounts and fixed term deposits.
•    Excellent oral and written communication skills (including report writing) in English.
•    Awareness of customer relationship practices and regulations.

For more information on this role please contact Sonia Smith by sending your CV quoting ref 16905SS.

A prestigious international Bank is seeking a dynamic individual to join its Compliance area. Your role will involve supporting the Head of Compliance to ensure full adherence to UK regulations and the expectations of local regulators.

Responsibilities will include:

• Providing guidance and training to staff regarding compliance and UK Data Protection Regulations, PRA/FCA Outsourcing, third-party risk management and Senior Managers & Certification Regime
li>Conducting compliance monitoring programmes and reporting findings
• Reviewing/maintaining the London office policy & procedure and framework on compliance with UK GDPR/data protection
• Reviewing the London office framework on compliance with PRA/FCA and Senior Managers & Certification Regime
• Assisting business areas with implementation plans for any policy/procedural changes   
< i>Assisting with monitoring activities regarding Conduct Risk, Operational Resilience etc
• Preparing various compliance reports

Your experience must include:  

li>Strong proven experience in regulatory compliance gained within banking – including compliance regarding Data Protection, PRA/FCA Outsourcing and third-party risk management < i>Excellent presentation skills – both oral and written < i>Good understanding of PRA/FCA,  Senior Managers & Certification Regime, regulatory reporting and risk management framework    Strong IT skills   li>A proactive “hands-on” approach, showing initiative to assist with projects

Please note this role will be working 5 days a week in the office for the first month, transitioning to hybrid thereafter (3 days in the office and 2 days remote).

A prestigious international Bank is seeking a dynamic individual to join its Compliance area. Your role will involve supporting the Head of Compliance to ensure full adherence to UK regulations and the expectations of local regulators.

Responsibilities will include:

• Providing guidance and training to staff regarding compliance and UK Data Protection Regulations, PRA/FCA Outsourcing, third-party risk management and Senior Managers & Certification Regime
li>Conducting compliance monitoring programmes and reporting findings
• Reviewing/maintaining the London office policy & procedure and framework on compliance with UK GDPR/data protection
• Reviewing the London office framework on compliance with PRA/FCA and Senior Managers & Certification Regime
• Assisting business areas with implementation plans for any policy/procedural changes   
< i>Assisting with monitoring activities regarding Conduct Risk, Operational Resilience etc
• Preparing various compliance reports

Your experience must include:  

li>Strong proven experience in regulatory compliance gained within banking – including compliance regarding Data Protection, PRA/FCA Outsourcing and third-party risk management < i>Excellent presentation skills – both oral and written < i>Good understanding of PRA/FCA,  Senior Managers & Certification Regime, regulatory reporting and risk management framework    Strong IT skills   li>A proactive “hands-on” approach, showing initiative to assist with projects

Please note this role will be working 5 days a week in the office for the first month, transitioning to hybrid thereafter (3 days in the office and 2 days remote).

Sponsorship will not be available for this position, therefore 3+ years on visa eligibility to work in UK is essential.

Our client, a highly respected Bank, is seeking a Manager – Regulatory Compliance to join their team on a permanent basis.

This position forms an integral part of 2nd Line of Defence and the successful candidate will also be performing regular and comprehensive compliance risk assessments according to the approved compliance plan, report on a regular basis on compliance identified breaches and corrective actions taken, as applicable.

Under direction, draft the Scope of Regulatory Compliance oversight as part of the annual plan and adhere to the plan by performing reviews and following up on outstanding actions.

Responsibilities (but not limited to):
•    Determine the processes and sub-processes, including input, processing and output.
•    Perform an end-to-end review of each process and determine relevant risks and controls.
•    Undertake root-cause analysis to address and mitigate the identified risks and recommend adequate remedial action.
•    Facilitate controls gap analysis, remediation planning and testing for all business units.
•    Ensure that the controls are efficient and effective, thus maintaining risks at an acceptable level.
•    Ensure that the processes are in compliance with regulatory requirements and best practices, at governance, oversight and operational levels.
•    Provide counsel and advice to the various functions in view of enhancing the control structure.
•    Review the branch’s policies, procedures and systems, before implementation, in order to assess the inherent risks, determine sufficiency of controls, and convey approval.
•    Undertake a continuous Control Self-Assessment exercise.
•    Maintain an updated Compliance Risk Register detailing the determined Compliance risks.

Qualifications and Skills:
•    University graduate preferably with a Major in Marketing, Banking, Finance, Accounting, Economics, Business Administration or Information Technology (related field of study).

•    CeMAP qualified.
•    At least 6 years of relevant experience, preferably in banking within a highly rated international bank. Also experience with regulated mortgages, savings accounts and fixed term deposits.
•    Excellent oral and written communication skills (including report writing) in English.
•    Awareness of customer relationship practices and regulations.

For more information on this role please contact Sonia Smith by sending your CV quoting ref 16905SS.

Job Title: Regulatory Compliance Officer
Location: Hybrid - Castle Donington or Bristol (initially more office-based for training, then minimum 2 days/week - Monday is team anchor day)
Contract Length: 6 months initially (potential for extension)
Rate: 25.50 per hour PAYE

About the Role

A newly formed regulatory compliance team is seeking a proactive and detail-oriented Regulatory Compliance Officer to support the handling of escalated customer complaints. This role involves independently reviewing complex cases, preparing formal responses, and compiling case files for external regulatory bodies.

The successful candidate will play a key role in ensuring the organisation meets its regulatory obligations while maintaining high standards of customer service and accountability.

Key Responsibilities

• Manage complaints escalated to Stage 3 and Stage 4 of the formal complaints procedure.
• Gather and assess information from internal systems and colleagues to build a comprehensive timeline of events.
• Independently determine whether the organisation's position should be upheld or overruled and propose remedies where appropriate.
• Draft and issue Stage 3 letters to customers, either offering a resolution or placing the case in "deadlock".
• Prepare structured case files for submission to external regulators, including timelines, evidence, and the organisation's final position.
• Maintain accurate records of escalated complaints, including outcomes and regulatory findings.
• Support the wider Regulatory Compliance Team with related duties as required.

Skills & Experience

• Strong written communication skills, with the ability to produce clear, concise, and professional correspondence.
• Proven ability to interrogate qualitative information, assess complex scenarios, and make sound decisions.
• Experience in complaint handling, regulatory compliance, or customer resolution roles.
• Highly organised, with excellent attention to detail and the ability to manage multiple cases simultaneously.
• Comfortable working independently and taking ownership of outcomes.
• Background in a regulated industry (e.g., utilities, telecoms, financial services).
• Familiarity with regulatory frameworks such as the Electricity Act, licence conditions, or regulator guidance.

Please note: Due to the high volume of applications, only shortlisted candidates will be contacted. If you do not hear from us within 48 hours, your application has not been successful on this occasion. However, we may retain your details for future suitable opportunities.

Pontoon is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace. We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more. We do this by showcasing their talents, skills, and unique experience in an inclusive environment that helps them thrive. If you require reasonable adjustments at any stage, please let us know and we will be happy to support you.

Job Title: Regulatory Compliance Officer
Location: Hybrid - Castle Donington or Bristol (initially more office-based for training, then minimum 2 days/week - Monday is team anchor day)
Contract Length: 6 months initially (potential for extension)
Rate: 25.50 per hour PAYE

About the Role

A newly formed regulatory compliance team is seeking a proactive and detail-oriented Regulatory Compliance Officer to support the handling of escalated customer complaints. This role involves independently reviewing complex cases, preparing formal responses, and compiling case files for external regulatory bodies.

The successful candidate will play a key role in ensuring the organisation meets its regulatory obligations while maintaining high standards of customer service and accountability.

Key Responsibilities

• Manage complaints escalated to Stage 3 and Stage 4 of the formal complaints procedure.
• Gather and assess information from internal systems and colleagues to build a comprehensive timeline of events.
• Independently determine whether the organisation's position should be upheld or overruled and propose remedies where appropriate.
• Draft and issue Stage 3 letters to customers, either offering a resolution or placing the case in "deadlock".
• Prepare structured case files for submission to external regulators, including timelines, evidence, and the organisation's final position.
• Maintain accurate records of escalated complaints, including outcomes and regulatory findings.
• Support the wider Regulatory Compliance Team with related duties as required.

Skills & Experience

• Strong written communication skills, with the ability to produce clear, concise, and professional correspondence.
• Proven ability to interrogate qualitative information, assess complex scenarios, and make sound decisions.
• Experience in complaint handling, regulatory compliance, or customer resolution roles.
• Highly organised, with excellent attention to detail and the ability to manage multiple cases simultaneously.
• Comfortable working independently and taking ownership of outcomes.
• Background in a regulated industry (e.g., utilities, telecoms, financial services).
• Familiarity with regulatory frameworks such as the Electricity Act, licence conditions, or regulator guidance.

Please note: Due to the high volume of applications, only shortlisted candidates will be contacted. If you do not hear from us within 48 hours, your application has not been successful on this occasion. However, we may retain your details for future suitable opportunities.

Pontoon is an employment consultancy. We put expertise, energy, and enthusiasm into improving everyone's chance of being part of the workplace. We respect and appreciate people of all ethnicities, generations, religious beliefs, sexual orientations, gender identities, and more. We do this by showcasing their talents, skills, and unique experience in an inclusive environment that helps them thrive. If you require reasonable adjustments at any stage, please let us know and we will be happy to support you.