Location
Leicester
Salary £50000 - £54000 TypePermanent WorkplaceRemote Ref89521
Recruiter Managing This Role
Remote Compliance Officer
£50,000 £54,000
We are supporting a respected wealth management firm that believes exceptional financial planning is built on integrity, trust, and a deep understanding of client needs. They deliver advice that goes beyond products, focusing on ethical practice, transparency, and long-term client wellbeing.
As a Remote Compliance Officer, youll be an integral part of ensuring the firm maintains the highest standards of regulatory compliance. You will play a key role in supporting the firms adherence to FCA regulations and internal compliance procedures. Youll work closely with advisers and senior management to ensure the business operates within a compliant framework while maintaining its commitment to excellent client service.
Benefits:
£50,000 £54,000
Fully remote role
Pension contribution
Private Medical Insurance
Death in Service
A collaborative and supportive culture that encourages development and continuous improvement
Clear pathways to progress into senior compliance or management roles
Key Responsibilities:
1. Monitor and review adviser files for compliance with FCA rules and internal policies
2. Provide clear, practical guidance to advisers and staff on compliance related matters
3. Maintain and develop internal compliance policies and procedures
4. Conduct compliance training and briefings for staff
5. Assist with regulatory reporting, audits, and liaison with external compliance consultants
6. Stay abreast of industry and regulatory developments and interpret implications for the firm
7. Support with complaint handling, breaches, and incident investigations
8. Prepare compliance reports for management and board meetings
To be considered you will need:
9. Previous experience in a compliance role within an IFA or wealth management environment (MUST HAVE)
10. Relevant compliance qualifications (CII Level 4 Diploma) are desirable
11. A strong understanding of FCA regulatory requirements and suitability guidelines
12. Excellent communication, analytical, and decision making skills
13. Proficient in using CRM and compliance or advice tools/software
Apply today to be considered for this Remote Compliance Officer opportunity. If this specific vacancy isnt the perfect match, please still get in touch, we support a wide range of roles across the financial planning sector.
Additionally, if you know someone who could be a great fit, please refer them as our referral scheme offers £200 if we successfully support them in securing a new role.