AML and Conduct Risk Manager
16 hours ago
About This Role
We are seeking an experienced Compliance Officer to join our client's team in Somerset or South Devon.
As a Compliance Officer, you will be responsible for ensuring the firm's operations comply with FCA regulations and guidelines.
Your key responsibilities will include:
- Maintaining and improving policies and procedures in line with FCA rules.
- Managing compliance monitoring plans, audit files, and collaborating on governance reviews.
- Monitoring conduct risks, managing conflicts of interest, and overseeing breach identification and remediation.
- Organizing and delivering tailored training programs to ensure staff have the necessary compliance knowledge.
Requirements and Qualifications
To be successful in this role, you should have:
- A minimum of 3 years' experience in compliance within IFA/Wealth Management, with knowledge of FCA regulations.
- Strong organisational, analytical, and communication skills, with attention to detail and proficiency in Microsoft Office.
Benefits and Remuneration
This role offers a competitive salary and benefits package, including:
- 25 days annual leave + bank holidays.
- Pension Scheme with 3% employer contribution.
Estimated Salary Range
£35,000 - £45,000 per annum, depending on experience.
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