Job Description
9 month Compliance contract
Fixed Term Contract
London
To be considered for this role you need Financial Planning / Wealth Management experience.
The Role
Reporting directly to the CEO, you will play a key role in maintaining and enhancing the firm’s compliance framework during a maternity cover contract. You will run the Compliance framework and undertake a Compliance audit in the summer of 2025. You will also have ownership of regulatory returns, other key responsibilities include:
* Managing the compliance framework to ensure regulatory adherence and best practice.
* Oversight of file reviews (working alongside an outsourced partner).
* Leading a compliance audit scheduled for Q3, ensuring all regulatory requirements are met.
* Acting as a key compliance advisor to the leadership team.
* Providing compliance guidance and support across the business.
To be successful in this role, you must have:
1. Financial planning/IFA compliance experience – a strong understanding of the regulatory landscape.
2. Level 4 Diploma in Financial Planning (or working towards it) – highly desirable.
3. Experience in managing compliance framewo...