Compliance Officer
Our client is a leading wealth management firm dedicated to helping individuals, families, and businesses achieve their long-term financial goals. They pride themselves on their integrity, client‑focused approach, and commitment to the highest professional and regulatory standards. As they continue to grow, they are seeking a talented Compliance Officer to join their team and support the ongoing development of their robust compliance framework.
đź’° Competitive Salary depending on experience
Role & Responsibilities
* Monitor and assess compliance with FCA rules, internal policies, and industry standards.
* Maintain and develop the firm’s compliance policies, procedures, and risk management framework.
* Investigate complaints and issue Final Response Letters to clients.
* Conduct regular compliance reviews and audits, reporting findings and recommending improvements.
* Provide guidance and training to staff on regulatory requirements and best practices.
* Provide support to the T&C Manager as/when required.
* Support the Compliance Manager with thematic reviews and regulatory change initiatives.
Do you have the following to apply?
* Proven experience in a Compliance role within a wealth management/IFA firm
* Hold the Level 4 Diploma in Financial Planning (or equivalent)
Seniority level
Mid‑Senior level
Employment type
Full‑time
Job function
Other
Industries
Financial Services and Investment Management
Location: Wakefield, England, United Kingdom
Clayton Davies is acting as an employment agency on behalf of our client.
Contact: Paul Clayton Davies, Director, 07515031496, paul@claytondavies.com
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