Role of a Compliance Officer

Role of a Compliance Officer

Jodie Toporowski

Director

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. 

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. 

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Role of a Compliance Officer

9 mins 55 secs

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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Summary
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Expert
Jodie Toporowski

Jodie Toporowski

Jodie Toporowski is an experienced Head of Compliance with a demonstrated history of working in the financial services industry. She is well versed in the areas relating to financial regulation, data protection and commercial contracts. She is also a strong legal professional with regulatory enforcement background. Jodie is currently the Head of Compliance at Hyundai Capital UK and has been at this role since 2017.

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