Compliance Officer

4 weeks ago


Horsham, West Sussex, United Kingdom Astral Recruitment Full time
Compliance Officer Role

Astral Recruitment is seeking an experienced Compliance Officer to join a specialist financial services company based in Horsham. The successful candidate will be responsible for supporting a team of Advisers in the compliance department.

Key Responsibilities:
  • Review client files to confirm suitability and adherence to regulatory and company requirements.
  • Identify and report any breaches or misconduct by firms and individuals.
  • Provide feedback and prepare action plans for firms and individuals following audits.
  • Assist in embedding a positive compliance culture across the Group.

The ideal candidate will have compliance experience from an IFA firm and be Level 4 Dip qualified. This is a great opportunity to work with a market-leading company dealing with complex financial services regulations.


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