Compliance Specialist

On an ordinary day, you will be a valued member of the department providing high-quality compliance advice to the business, supporting various departments and providing assurance.

• →Conducting thematic compliance audits and monitoring activities by reporting, compiling proposed actions and tracking in accordance with the compliance annual plan.
• →Assisting with supplier due diligence by assessing and evaluating supplier responses and associated risks
• →Compiling and preparing FCA reporting requirements and applications for approval / submission
• →Compiling training monitoring reporting
• →Reviewing financial promotions (marketing and advertising)
• →Developing compliance reporting and controls/mitigations
• →Assisting with development of annual regulatory board report
• →Supporting maintenance of the ISO 9001 Quality Management Standard
• →Assisting with ESG policy and compliance monitoring

In the future, this role will evolve as you gain experience of the business and demonstrate high performance. You’ll have the opportunity to take on more responsibility, broaden your understanding and experience of compliance issues, and contribute to the strategic goals of the Compliance Team.

• Taking ownership of compliance matters, including complex regulatory issues and risk event investigations.
• Recommending process improvements to streamline workflows and enhance efficiency.

• Strategic Risk Management
• Project management for compliance initiatives.
• Training and mentoring future junior team members.
• Building a strong personal network across the business.

• Please note that all KINTO-UK Ltd employees are required to undergo and successfully obtain Enhanced Security Clearance. These checks include verification of employment history, family background, and financial records.

• Previous exposure to compliance or audit roles in a regulated business. Sound understanding of laws, rules and guidance.
• Understanding of risk management principles and processes.
• Experience with compliance monitoring activities and thematic reviews.
• Strong attention to detail, with the ability to ask questions and seek clarification when needed.
• Impeccable ethics combined with the ability to solve problems.
• Excellent interpersonal and communication skills, both written and verbal, with the ability to build relationships at all levels.
• Proactive, solutions-oriented approach with the ability to manage a varied workload independently.
• Strong administrative skills and proficiency in Microsoft Office (Word, Excel, PowerPoint) and internal systems.
• Effective time management skills and the ability to work under pressure to meet deadlines.
• A positive, can-do attitude, demonstrating willingness to take on new challenges and adapt to changing priorities.

• Prior experience of a regulated compliance role with a solid understanding of FCA regulation including Consumer Duty.

At KINTO we value everyone and are pleased to be recognised as a Disability Confident Employer, which is a national standard that ensures our processes are accessible to all.

Everyone is unique, and that means what works for some may not work for everyone. When it comes to recruitment, please do let us know if we can adjust our process to meet your accessibility needs.

Some examples of how we might be able to help are listed below:

• Providing a copy of interview questions before the interview
• Organising a time and location that best suits you
• Allowing additional time for the assessment and interview

We are happy to review any adjustment on a case-by-case basis, so please let us know how we can support you to be your best self. On the job training will be provided, we recognise we all learn differently, and we want to ensure that our training will suit your learning style. We are open to talking to you about how we can make learning your new role in the most positive way.