Compliance Officer
Our client is a leading wealth management firm who are seeking a Compliance Officer to play a key part in ensuring the business operates within regulatory frameworks and industry best practice. Working as part of a collaborative Risk & Compliance team, you’ll conduct risk‑based monitoring reviews, assess systems and controls, and provide practical guidance to strengthen compliance culture across the organisation.
Role & Responsibilities
* Planning and delivering monitoring reviews based on regulatory priorities and business risk.
* Analyzing data, testing controls, and identifying potential areas of improvement.
* Preparing clear and actionable reports for senior stakeholders.
* Supporting the completion and verification of remediation actions.
* Assisting with ad hoc risk assessments and thematic reviews as required.
Qualifications
* Level 4 Diploma in Financial Planning or relevant investment qualifications would be beneficial.
* Previous Compliance experience within the financial services industry.
* Strong working knowledge of FCA regulations.
* Practical experience in compliance monitoring or audit processes.
Job Details
Seniority level: Mid‑Senior level. Employment type: Full‑time. Industries: Financial Services and Investment Management.
Location: Manchester, England, United Kingdom.
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
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