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Compliance Officer

4 weeks ago

Wakefield West Yorkshire, United Kingdom Clayton Davies Full time

⭐️ Compliance Officer 📍 Hybrid Based 💰 Competitive Salary depending on experience Our client is a leading wealth management firm dedicated to helping individuals, families, and businesses achieve their long-term financial goals. They pride themselves on their integrity, client-focused approach, and commitment to the highest professional and regulatory standards. As they continue to grow, they are seeking a talented Compliance Officer to join their team and support the ongoing development of their robust compliance framework. Role & Responsibilities: 📋 Monitor and assess compliance with FCA rules, internal policies, and industry standards. Maintain and develop the firm’s compliance policies, procedures, and risk management framework. Investigate complaints and issue Final Response Letters to clients. Conduct regular compliance reviews and audits, reporting findings and recommending improvements. Provide guidance and training to staff on regulatory requirements and best practices. Provide support to the T&C Manager as/when required. Support the Compliance Manager with thematic reviews and regulatory change initiatives. Do you have the following to apply? ✅ Proven experience in a Compliance role within a wealth management/IFA firm Hold the Level 4 Diploma in Financial Planning (or equivalent). Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.