Compliance Officer

Our client is a rapidly expanding Wealth Management firm who are looking for an experienced Compliance Officer to join the team.

As Compliance Officer you will focus particularly on complaint handling, root cause analysis and providing advisory oversight across multiple financial planning businesses.

The ideal candidate will have extensive experience in senior compliance roles within large-scale advisory firms and a deep technical understanding of financial planning, including FCA regulations, suitability and conduct requirements.

The role will involve taking responsibility for the following:

• Act as a key compliance advisory point across the firm. Supporting regulated financial advice activities.
• Manage and oversee the compliant handling process, ensuring timely resolution, root cause analysis and appropriate remedial action.
• Support the design, implementation and review of compliance policies and procedures, ensuring alignment with FCA requirements and the firms standards.
• Deliver clear and pragmatic compliance advice to business stakeholder on regulatory matters, including suitability of advice, financial promotions, clients' disclosures and product governance.
• Participate in compliance monitoring reviews and thematic projects, providing expert input where required.
• Support training and development initiatives to enhance compliance understanding across adviser and operational terms.
• Contribute to regular compliance reporting to the Head of Compliance Advisory and senior management.
• Monitor regulatory developments and address their impact on the firm, communicating implications and recommending actions.

Key Requirements:

• Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification
• Proven track record in compliance roles within established and large financial advisory firms
• Deep knowledge and understanding of FCA regulatory requirements, especially around advice, suitability, complaint handling and Consumer Duty
• Extensive experience managing and resolving complaints within a regulated financial advice environment.
• Strong technical knowledge of financial planning products and services (e.g. pensions, investments, protection, tax planning)
• Experience working across multiple regulated advice business is highly desirable.
• Ability to balance regulatory requirements with commercial business understanding.
• Strong stakeholder engagement and communication skills, with ability to influence and challenge constructively.

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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