Job Description
Compliance Officer
Chelmsford or Ipswich
Wealth Management / IFA Firm
We’re working with a well-established and growing wealth management / IFA business looking to hire a Compliance Officer to support their advisory network and wider business.
This role is ideal for someone with a couple of years’ experience in financial services compliance who’s looking to deepen their exposure across core compliance activities in a supportive, collaborative environment.
The Role
You’ll play a key part in ensuring the business continues to meet regulatory requirements while providing practical, commercial support to advisers and the wider firm. Responsibilities will include:
* Producing and maintaining Management Information (MI)
* Supporting the handling and investigation of client complaints
* Carrying out adviser file reviews and monitoring
* Providing day-to-day compliance support and guidance to advisers
* Assisting with regulatory projects, policies and procedures
* Helping maintain strong relationships with internal stakeholders
About You
* 2+ years’ experience in a compliance role within wealth management / IFA / financial services
* Good working knowledge of FCA regulations and adviser supervision
* Experience with file reviews, complaints and compliance monitoring
* Strong attention to detail with a practical, solutions-focused mindset
* Confident communicator who can support advisers constructively
* Well-organised and comfortable handling multiple priorities