I am currently partnering with a growing financial planning firm seeking a Compliance Officer who’s ready to lead on best practice, challenge constructively, and keep regulatory integrity front and centre. You'll be trusted to advise, influence, and help the firm scale with confidence.
Operate as part of the 2nd line Compliance function, supporting a culture of regulatory integrity and client-centric outcomes
Deliver expert regulatory guidance and support across all business functions
Manage and respond to data protection requests, including Data Subject Access Requests (DSARs)
Log, investigate, and conduct root cause analysis of compliance breaches
Perform horizon scanning to identify, monitor, and report on relevant regulatory developments
Conduct KYC due diligence reviews and investigate referrals from business units
Review and approve financial promotions, marketing collateral, and client-facing materials to ensure regulatory compliance
Assist in the preparation and submission of regulatory reports and information requests
Promote compliance awareness through staff engagement, training, and communications
Develop, maintain, and review internal compliance policies in line with evolving regulatory requirements
Compile and present Management Information (MI) to demonstrate compliance with applicable regulations and support client outcome monitoring
Participate in thematic reviews, depending on skills and experience
At least 1 year of experience in a retail compliance role within financial services
Solid understanding of FCA regulations and regulatory expectations
Practical, solution-oriented mindset with the ability to interpret and apply regulatory requirements effectively
Skilled at translating complex regulatory concepts into clear, understandable guidance for diverse audiences