Compliance officer - ifa firm

Job Description

Compliance Officer

Wealth Management (IFA Firm)

Location: Cambridgeshire (4 days a week in the office, 1 day working from home)

Salary: To £70k + benefits


Looking to be the Compliance lead for successful financial planning firm without the responsibility of being an SMF?


Perhaps you're looking for a stepping stone to an SMF16 role but are not ready for that level of responsibility just yet.


Or perhaps you've previously operated as an SMF16 but now want a senior Compliance role without that added responsibility.


That’s what’s on offer here.


As part of a wider network, this established, and highly successful IFA firm operates as an Appointed Representative and their continued growth now means they’re looking to recruit a Compliance Officer to support the business in maintaining robust compliance and governance standards.


It’s a role that will see you work closely with the senior leadership team and influence how regulatory compliance is embedded across the business.


You’ll coordinate the internal application of the network’s policies and updated including those specifically related to documentation, communications, file checks and complaints.