Overview
MERJE — North Yorkshire, England, United Kingdom. Our client is a rapidly expanding Wealth Management firm seeking a Compliance Officer to join the team. The role focuses on complaint handling, root cause analysis and advisory oversight across multiple financial planning businesses. The role requires extensive experience in senior compliance roles within large-scale advisory firms and a deep technical understanding of financial planning, including FCA regulations, suitability and conduct requirements.
Responsibilities
* Act as a key compliance advisory point across the firm. Support regulated financial advice activities.
* Manage and oversee the compliant handling process, ensuring timely resolution, root cause analysis and appropriate remedial action.
* Design, implement and review compliance policies and procedures, ensuring alignment with FCA requirements and the firm\'s standards.
* Deliver clear and pragmatic compliance advice to business stakeholders on regulatory matters, including suitability of advice, financial promotions, clients’ disclosures and product governance.
* Participate in compliance monitoring reviews and thematic projects, providing expert input where required.
* Support training and development initiatives to enhance compliance understanding across adviser and operational staff.
* Contribute to regular compliance reporting to the Head of Compliance Advisory and senior management.
* Monitor regulatory developments and communicate implications, addressing their impact on the firm and recommending actions.
Key Requirements
* Level 4 CII Diploma in Regulated Financial Planning or equivalent qualification
* Proven track record in compliance roles within large financial advisory firms
* Deep knowledge of FCA regulatory requirements, especially around advice, suitability, complaint handling and Consumer Duty
* Extensive experience managing and resolving complaints within a regulated financial advice environment
* Strong technical knowledge of financial planning products and services (pensions, investments, protection, tax planning)
* Experience across multiple regulated advice businesses is highly desirable
* Ability to balance regulatory requirements with commercial business understanding
* Strong stakeholder engagement and communication skills with the ability to influence constructively
Note: If feedback is not provided within 28 days due to high volume of applications, the employer may contact for similar relevant opportunities. If you would like this job advertisement in an alternative format, please contact MERJE directly.
Seniority level
* Associate
Employment type
* Full-time
Job function
* Finance
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