Compliance Expert for Wealth Management Firm

4 days ago

London, Greater London, United Kingdom Fram Executive Search Limited Full time
Regulatory Excellence in Wealth Management

Fram Executive Search Limited is partnering with an independent Wealth Management firm based in Southwest Devon to find a Compliance Support Officer. The successful candidate will work closely with the Wealth Management Director, who holds SMF16/17 responsibilities, to maintain regulatory excellence.

The Compliance Support Officer will develop, implement, and oversee compliance policies and procedures, manage risk assessments, policy reviews, and process improvements to ensure alignment with FCA regulations.

This is an excellent opportunity to play a critical role in maintaining high compliance standards, collaborate with senior management, and contribute to a culture of accountability and excellence in wealth management compliance.

Key Responsibilities:

  • Regulatory Compliance & Consumer Duty: Review and improve policies, serve as a Consumer Duty Champion, and advocate for consumer-focused decisions, particularly around price, value, and customer support.
  • Compliance Monitoring & Reporting: Oversee the Compliance Monitoring Plan, submit regulatory reports, and ensure operations are transparent and compliant.
  • Conduct Risk & Conflict Management: Identify and manage conduct risks, conflicts of interest, and maintain the Gifts and Entertainment register.
  • Training & Regulatory Change: Foster a culture of compliance through training and stay current with regulatory developments via third-party events and resources.
  • Investment & AML Oversight: Collaborate on investment strategy, lead anti-money laundering efforts, and ensure robust Know Your Client (KYC) practices.

A strong candidate will have 3+ years of experience in compliance within wealth management, hold the Level 4 Diploma in Financial Planning, and possess knowledge of FCA regulations and Consumer Duty requirements.

Salary: £45,000 - £55,000 per annum.

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