Our client is a rapidly expanding wealth management firm who are looking for a Compliance Officer to join the team on a permanent basis.
The Compliance Officer will be experienced and proactive to provide onsite compliance leadership and day to day support. This individual will be a core member of the Compliance team, reporting directly to the SMF16/17.
The team undertakes asset management activities, servicing a fully retail client base. As such, the role requires strong working knowledge of FCA expectations for retail investment advice, portfolio management, order handling, appropriateness, suitability, conflicts, CASS awareness, and general conduct requirements.
The ideal candidate will be confident working independently, approachable to staff at all levels, and capable of providing high quality, practical compliance guidance that supports good customer outcomes and business effectiveness.
Key Responsibilities:
* Day-to-Day Compliance Support
* Act as the primary point of contact for all compliance related queries
* Provide daily regulatory advice to investment directors, administrative staff, and local management
* Support local teams in understanding and meeting FCA requirements, company policies, and Conduct Rules
* Compliance Monitoring & Oversight
* Deliver and document compliance monitoring work allocated as part of the Compliance Monitoring Plan
* Perform file reviews, suitability checks, monitoring of investment activity, and periodic thematic reviews
* Oversee the conduct and compliance of Investment Directors within the office, ensuring adherence to best practice and policy
* Governance & Reporting
* Serve as a member of the Management Committee, contributing compliance input into local governance and escalating matters to the Board where appropriate
* Provide timely reporting to the SMF16/17 on any issues, breaches, risks, trends, or areas requiring remediation
* Assist with the preparation of management information (MI), commentary, and actions for internal governance forums
* Policy, Process & Risk Management
* Support the implementation, communication and maintenance of compliance policies and procedures
* Promote a strong compliance culture, good customer outcomes, and awareness of Consumer Duty principles
* Identify regulatory risks and assist in creating and tracking remediation plans
* Training & Staff Engagement
* Deliver local compliance briefings, onboarding support and periodic training on relevant regulatory topics
* Act as an approachable, trusted adviser who promotes a supportive and open compliance culture
Key Requirements:
Essential
* Strong compliance experience within retail investment management, wealth management, or stockbroking
* Experience working directly with retail clients from a compliance oversight or advisory perspective
* Solid understanding of FCA rules including COBS, SYSC, PROD, Consumer Duty, and SM&CR
* Experience conducting compliance monitoring, file reviews, or supervisory oversight
* Ability to work independently, exercise sound judgement, and proactively identify risks
* Excellent communication skills with the ability to influence and support stakeholders
Desirable
* Previous experience in a multi-site firm or acting as onsite compliance presence
* Knowledge of CASS considerations relevant to stockbroking activity
* Relevant industry qualifications (e.g., CISI, ICA, or equivalent)
* Approachable and collaborative, with a willingness to support the business in a helpful, practical, and proactive manner
* Confident operating as the local compliance representative and trusted adviser
* High attention to detail with strong organisational skills
* Professional integrity and commitment to good customer outcomes
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
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