Legal Risk and Compliance Officer
3 weeks ago
Job Title: Compliance Officer - Wealth Management
8% pension
* Group life cover
* 25 days of annual leave plus bank holidays and Christmas closure
* Opportunities for career progression
* About Us: We are representing a rapidly-growing wealth management firm dedicated to providing personalised financial solutions to theirclients. With a focus on integrity, expertise, and client-centric service, they strive to exceed expectations and build lasting relationships.
We are seeking an experienced Compliance Officer to join the team as they embark on an exciting phase of growth, including an upcoming acquisition in the next few months. The ideal candidate will have extensive experience in the Financial Planning sector and possess the knowledge and skills necessary to navigate the regulatory landscape with confidence.
Oversee and manage compliance functions, ensuring adherence to regulatory requirements and internal policies.
* Act as a safe pair of hands in leading the compliance team, with a focus on scalability as the company expands.
* Collaborate closely with senior management, including sitting on the leadership team alongside key stakeholders
* Taking ownership of senior manager functions (SMF16 & SMF17) and providing strategic guidance to ensure compliance best practices.
Proven experience in the IFA sector, with a strong understanding of regulatory frameworks and compliance requirements.
* Familiarity with FCA regulations and the ability to obtain approval for senior manager functions.
* Demonstrated leadership skills, with the ability to effectively manage and develop a compliance team.
* A balance of hands-on compliance experience and the ability to take a strategic, leadership-oriented approach.
Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career.
Compliance, IFA, Financial Planning, Advisory, Wealth Management, Financial Planners, Head of Compliance, Compliance Officer, Compliance Consultant, Director of Compliance, Compliance Analyst, Compliance Executive, Risk, FCA #J-18808-Ljbffr
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