Compliance Officer Professional
3 weeks ago
The Cathedral Appointments | South West Recruitment team is seeking a skilled Compliance Officer to join their prestigious Financial Services firm based in Somerset or South Devon.
This hybrid working role offers the flexibility of two offices and a competitive salary range of £35,000 - £45,000 DOE.
Key responsibilities include:
- Maintaining and improving policies and procedures in line with FCA rules, ensuring robust frameworks for Consumer Duty and vulnerability in advice.
- Oversight and monitoring of compliance monitoring plans, audit files, and collaboration on governance reviews to ensure operational integrity.
- Monitoring conduct risks, managing conflicts of interest, and overseeing breach identification and remediation.
Requirements for this role include:
- A minimum of 3 years' experience 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.
Benefits include:
- 25 days annual leave + bank holidays.
- Pension Scheme 3% employer contribution.
- SSP.
- DIS x 2 salary.
Please note that sponsorship for work authorisation is not available for this role. Candidates must possess valid authorisation to work in the UK without requiring visa sponsorship.
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