Job Description
£35 - £45k DOE | Hybrid Working | Somerset / South Devon
Our client a prestigious and forward-thinking Financial Services firm are seeking a Compliance Officer to join their team. The base for the role offers the flexibility of two offices.
This role offers a hybrid working model; 4 days in the office and 1 day working from home.
Responsibilities for the Compliance Officer include:
* Regulatory Compliance: Maintain and improve policies and procedures in line with FCA rules, ensuring robust frameworks for Consumer Duty and vulnerability in advice
* Oversight and Monitoring: Manage compliance monitoring plans, audit files, and collaborate on governance reviews to ensure operational integrity
* Conduct and Risk Management: Monitor conduct risks, manage conflicts of interest, and oversee breach identification and remediation
* Training and Development: Organize and deliver tailored training programs, ensuring staff are equipped with compliance knowledge and maintain professional certifications
Requirements for the Compliance Officer include:
1. Minimum of 3 years in compliance within IFA/Wealth Management, with knowledge of FCA regulations.
2. Ideally Level 4, or working towards Level 4 CII
3. Strong organisational, analytical, and communication skills, with attention to detail...