Regulatory Compliance Specialist

16 hours ago


Bath, Bath and North East Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time

Job Title: Regulatory Compliance Specialist

Location: Somerset / South Devon

Salary: £40,000 - £50,000 per annum (dependent on experience)

Cathedral Appointments | South West Recruitment is working with a prestigious and forward-thinking Financial Services firm to find a talented Regulatory Compliance Specialist. This exciting role offers the flexibility of hybrid working, allowing you to balance office time with remote work.

The ideal candidate will have a strong background in compliance within IFA/Wealth Management, with knowledge of FCA regulations. A minimum of 3 years' experience is required, along with a Level 4 CII certification or working towards it. Strong organisational, analytical, and communication skills are essential, as well as proficiency in Microsoft Office.

The responsibilities of this role 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: Organise and deliver tailored training programs, ensuring staff are equipped with compliance knowledge and maintain professional certifications

Benefits of this role include:

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

This is an excellent opportunity for a motivated and detail-oriented individual to join a dynamic team and contribute to the success of a respected Financial Services firm.



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