Role of a Compliance Officer

Role of a Compliance Officer

In this video, Jodie explains the role of a compliance officer by looking at an example of an average day in the life of someone in this position. She also examines the regulatory developments in this area in relation to the effects of the FCA Senior Management and Certification Regimes on the role and day-to-day duties of a compliance officer. 
Overview

Overall, a compliance officer is responsible for ensuring the firms and its individuals are complying with all the relevant laws, regulations and principles and rules set by their regulator.

The Financial Conduct Authority (FCA) Senior management and Certification Regime has further developed the role of the Compliance Officer and more senior compliance officer roles now carry personal accountability for their firm’s compliance oversight.

Whether or not there is a formal requirement to appoint a Compliance Officer they have a crucial roles to play in ensuring that the firm is aware of its compliance responsibilities and has appropriate arrangements in place to ensure compliance.

Key learning objectives:

  • What is the role of the compliance officer?

  • What is the impact of the FCA SMCR regime?

  • What are the day to day duties of a compliance officer?

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