AML and Conduct Risk Manager

16 hours ago


Wellington, Telford and Wrekin, United Kingdom Cathedral Appointments Full time

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:

  1. Maintaining and improving policies and procedures in line with FCA rules.
  2. Managing compliance monitoring plans, audit files, and collaborating on governance reviews.
  3. Monitoring conduct risks, managing conflicts of interest, and overseeing breach identification and remediation.
  4. 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:

  1. A minimum of 3 years' experience in compliance within IFA/Wealth Management, with knowledge of FCA regulations.
  2. 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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