Wealth Management Compliance Officer

4 weeks ago


Devon, United Kingdom Fram Executive Search Full time
Job Title: Wealth Management Compliance Officer

About Our Firm: We are partnering with an independent Wealth Management firm in the Southwest region to find a skilled Wealth Management Compliance Officer. The company's commitment to regulatory excellence has led to this exciting opportunity for a qualified professional to join their team.

In this role, you will play a vital part in ensuring the firm's compliance with FCA regulations. Your primary focus will be on developing and implementing compliance policies and procedures, managing risk assessments, and conducting file reviews. You will also work closely with senior management to maintain high compliance standards, foster a culture of accountability, and drive excellence in wealth management compliance. Furthermore, you will be responsible for maintaining T&C schemes and process improvements.

Main Responsibilities:
  • Policy Development: Create, implement, and oversee compliance policies and procedures.
  • Risk Management: Identify and manage conduct risks, conflicts of interest, and maintain the Gifts and Entertainment register.
  • File Reviews & Process Improvements: Conduct thorough file reviews and implement process improvements to enhance overall compliance.

Estimated Salary: £55,000 - £80,000 per annum based on experience.

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