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Compliance & Complaints Officer – Sheffield – Permanent

Nicholas Howard are delighted to be recruiting for a new and exciting role as a Compliance & Complaints Officer.

The role is based in Sheffield with some travel expected to London from time to time. A portion of time will be ‘work from home’ if desired.

Job Overview:

This a Financial Conduct Authority Conduct role.

The role holder will undertake day to day complaints handling and compliance monitoring activity.

Core Responsibilities:

  • Undertake designated Second Line of Defence monitoring tasks for the Company.
  • Perform Compliance monitoring activities, report your findings to line management and provide management information to the Company’s Regulatory & Compliance Committee.
  • Manage the vaulting of required call recordings for the Company.
  • Assist the Compliance & Financial Crime Business Partner at monthly call calibration sessions with the Company’s operational functions.
  • Responsible for maintaining all information and correspondence relating to complaints on the Company’s Zendesk complaints database. Handling customer complaints effectively through to resolution; and making appropriate recommendations for a final decision on the merits of the complaint.
  • Ensure adherence to the Companies’ internal complaints procedure and that appropriate complaint records are completed and maintained.
  • Undertake periodic root cause analysis of complaints received and prepare findings in a periodic report to Senior Management.
  • Support the Company’s Compliance & Financial Crime Business Partner as required.

Skills & Requirements:


  • At least 1year’s experience (or deemed equivalent) in a Compliance role and / or 1 year’s mortgage complaint handling within an FCA regulated financial institution.
  • A good understanding of MCOB, DISP, and general FCA requirements, Data Protection legislation and the Financial Ombudsman Service.
  • Good written and verbal communication skills.
  • Good problem solving and investigative skills.
  • Good organisational and administrative skills with a proven ability to prioritise tasks.
  • The ability to work both on an independent basis and as a team-worker who must be able to build working relationships and interact with colleagues across the Company.
  • MS Office and / or Google proficient.


  • At least 2year’s experience (or deemed equivalent) in a regulated mortgage operations role such as lending or servicing.
  • An understanding of financial crime issues that face a mortgage lender.
  • Experience of anti-fraud tools such as CIFAS, SIRA, Hunter and PEPs and Sanctions screening.

To be considered for this position please apply below.