Compliance Officer

7 days ago


Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time

£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
  • SSP
  • 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


  • Compliance Officer

    7 days ago


    Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time

    £35 - £45k DOE | Hybrid Working | Somerset / South DevonOur 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

    2 days ago


    Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time

    £35 - £45k DOE | Hybrid Working | Somerset / South DevonOur 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

    4 weeks ago


    Somerset, United Kingdom Fram Search Full time

    Hold the Level 4 Diploma in Financial PlanningKnowledge of FCA regulations and Consumer Duty requirementsCompliance within wealth managementFram are working with an independent Wealth Management firm based in Southwest Devon. Due to continued growth, they are looking for a Compliance Support Officer, to work with the Wealth Management Director who hold the...

  • Compliance Officer

    4 weeks ago


    Somerset, United Kingdom Fram Search Full time

    Job Description Hold the Level 4 Diploma in Financial Planning Knowledge of FCA regulations and Consumer Duty requirements Compliance within wealth management Fram are working with an independent Wealth Management firm based in Southwest Devon. Due to continued growth, they are looking for a Compliance Support Officer, to work with the Wealth Management...

  • Compliance Officer

    4 weeks ago


    Somerset, United Kingdom Fram Search Full time

    Hold the Level 4 Diploma in Financial PlanningKnowledge of FCA regulations and Consumer Duty requirementsCompliance within wealth managementFram are working with an independent Wealth Management firm based in Southwest Devon. Due to continued growth, they are looking for a Compliance Support Officer, to work with the Wealth Management Director who hold the...

  • Compliance Officer

    7 days ago


    Somerset, UK, South West England, United Kingdom Cathedral Appointments | South West Recruitment Full time

    £35 - £45k DOE | Hybrid Working | Somerset / South DevonOur 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

    4 weeks ago


    Somerset, UK, South West England, United Kingdom Fram Search Full time

    Hold the Level 4 Diploma in Financial PlanningKnowledge of FCA regulations and Consumer Duty requirementsCompliance within wealth managementFram are working with an independent Wealth Management firm based in Southwest Devon. Due to continued growth, they are looking for a Compliance Support Officer, to work with the Wealth Management Director who hold the...


  • Wincanton, Somerset, United Kingdom Jardox Limited Full time

    Jardox are currently recruiting a Technical Compliance Officer to join our Technical Team. At Jardox, we are the "Taste Behind the Brands." Based in Sevenoaks and Wincanton, we are a one stop shop for all savoury ingredients. This role is the first Compliance role to be based in Wincanton (the rest of the team being based at our Head Office in Sevenoaks,...


  • Bath, Somerset, United Kingdom Touchstone Full time

    That's someone that does the right thing, is enthusiastic and motivated to grow, believes in Community spirit, is respectful and enjoys their work. As the UK's leading Social Enterprise, we don't discriminate based on any protected attribute. In fact, we're dedicated to creating inclusive and thriving Communities for both our Customers and Employees.   ...


  • Bath, Somerset, United Kingdom Touchstone Full time

    That's someone that does the right thing, is enthusiastic and motivated to grow, believes in Community spirit, is respectful and enjoys their work. As the UK's leading Social Enterprise, we don't discriminate based on any protected attribute. In fact, we're dedicated to creating inclusive and thriving Communities for both our Customers and Employees.   ...

  • Senior Payroll Officer

    3 months ago


    Somerset, United Kingdom Service Care Solutions Full time

    Job Title: Senior Payroll Officer Location: Avon and Somerset Constabulary Police HQ Contract: Full-time Pay Rate: 19 per hour Recruitment Agency: Service Care, recruiting on behalf of Avon and Somerset Constabulary Contact Information: Phone: (phone number removed) Email: (url removed) Job Overview: Service Care is recruiting for a ...


  • Somerset, United Kingdom Novax Recruitment Ltd Full time

    **Senior Technical Officer** Are you a talented and experienced technical professional seeking a new opportunity to showcase your expertise? We are looking for a dynamic and skilled Senior Technical Officer to join our team in Somerset. Monday - Friday, 37 hours per week, 08:00 - 17:00. £35 to £40 per hour PAYE. **Main Purpose**: **Key...


  • Wincanton, Somerset, United Kingdom Jardox Limited Full time

    Jardox are currently recruiting a Technical Compliance Officer to join our Technical Team. At Jardox, we are the "Taste Behind the Brands." Based in Sevenoaks and Wincanton, we are a one stop shop for all savoury ingredients. We specialise in stocks, gravies, curry pastes, marinades, glazes, sausage & burger seasonings and herb & spice based products. ...

  • Senior Payroll Officer

    5 months ago


    Somerset, United Kingdom Adecco Full time

    We have an exciting opportunity for a Senior Payroll Officer to join Avon & Somerset Police at their Police Headquarters in Portishead. This role will be hybrid, working (Home and Headquarters) Monday to Friday, office hours. The rate is 19.17. This is a temporary role until January 2026. PLEASE NOTE DUE TO POLICE VETTING CRITERIA YOU MUST HAVE BEEN...


  • Somerset, United Kingdom MMP Consultancy Full time

    MMP Consultancy currently have an opportunity for a Senior Technical Officer to join a local authority in the South West This will be a interim position on a 6-9 Month contract paying £50.32 P/H Umbrella. **Job Purpose**: **Role Responsibilities**: - Understand, uphold, and promote the aims of the council's equality, diversity, and inclusion policies;...


  • Bath, Somerset, United Kingdom Touchstone Full time

    At Places for People, we hire People, not numbers! So, if you like the sound of one of our jobs, please apply - you could be just who we're looking for! Of course, experience and track record are important, but we're more interested in hiring someone that embodies our People Promises. That's someone that does the right thing, is enthusiastic and...


  • Bath, Somerset, United Kingdom Touchstone Full time

    At Places for People, we hire People, not numbers! So, if you like the sound of one of our jobs, please apply - you could be just who we're looking for! Of course, experience and track record are important, but we're more interested in hiring someone that embodies our People Promises. That's someone that does the right thing, is enthusiastic and...


  • Somerset, United Kingdom LiveWest Full time

    About the Role:Are you ready to make a real impact in the Housing Sector? LiveWest are looking for an experienced Homeownership and Commercial Officer to join our team. If you have experience in a similar role, and thrive in a fast-paced, dynamic environment, this is your chance to contribute to meaningful work with a purpose.Key Responsibilities:As a...


  • Bath, Somerset, United Kingdom Deerfoot Recruitment Solutions Limited Full time

    Senior Compliance Advisory Manager Location: Bath (Hybrid - 1 days a week in the office) Salary: Up to £100,000 Benefits: Bonus, 34 days holiday, 7% pension, life assurance, private medical, professional development opportunities Are you an experienced compliance professional looking to take the next step in your career? Our client, a prominent...


  • Somerset, United Kingdom Rethink Mental Illness Full time

    **The Open Mental Alliance is growing from strength to strength and we are actively investing in our infrastructure and expanding our team. The VCFSE alliance was formed to develop a bold new community-based mental health support service for Somerset residents and Rethink Mental Illness is the lead accountable body for this alliance.** **In 2019 Somerset...