Job Description
⭐️ Compliance Officer
📍 Hybrid Based
💰 Competitive Salary depending on experience
Our client is a leading wealth management firm dedicated to helping individuals, families, and businesses achieve their long-term financial goals. They pride themselves on their integrity, client-focused approach, and commitment to the highest professional and regulatory standards. As they continue to grow, they are seeking a talented Compliance Officer to join their team and support the ongoing development of their robust compliance framework.
Role & Responsibilities: 📋
* Monitor and assess compliance with FCA rules, internal policies, and industry standards.
* Maintain and develop the firm’s compliance policies, procedures, and risk management framework.
* Investigate complaints and issue Final Response Letters to clients.
* Conduct regular compliance reviews and audits, reporting findings and recommending improvements.
* Provide guidance and training to staff on regulatory requirements and best practices.
* Provide support to the T&C Manager as/when required.
* Support the Compliance Manager with thematic reviews and regulatory change initiatives.
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