Compliance Officer

£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:

• Minimum of 3 years in compliance within IFA/Wealth Management, with knowledge of FCA regulations.
• Ideally Level 4, or working towards Level 4 CII
• Strong organisational, analytical, and communication skills, with attention to detail and proficiency in Microsoft Office.
• Proactive, diligent, and team-oriented with the ability to manage multiple tasks and provide credible challenge to senior management.

Benefits include:

• 25 days annual leave + bank holidays
• Pension Scheme 3% employer contribution
• DIS x 2 salary

Note on Sponsorship: We regret to inform you that at this time, we are unable to offer sponsorship for work authorisation for this role. Therefore, candidates must possess valid authorisation to work in the UK without requiring visa sponsorship.

Recruitment Consultant: Jo Howell

Ref: 10709