Compliance Officer

18 hours ago


St Albans, Hertfordshire, United Kingdom Click and Connect Online Limited Full time
Wealth Management Firm Seeks Compliance Expert

Click and Connect Online Limited is a leading international wealth management firm seeking an experienced Compliance Officer to join our team. As a Compliance Officer, you will be responsible for conducting file reviews, providing feedback to advisers, and monitoring rework cases.

This is an exciting opportunity for a motivated individual looking to take their career to the next level. A competitive salary of £38,000 - £48,000 per annum is on offer, depending on experience.

Job Summary:

This role primarily entails file review responsibilities within the UK division of our rapidly expanding international wealth management company. As a member of our small compliance team, you'll focus on ensuring excellent client outcomes through meticulous, accurate advice reviews.

Responsibilities and Duties:

  • Conduct comprehensive file reviews for retail investment and pension advice
  • Provide clear, consistent, and constructive feedback to advisers/paraplanners
  • Monitor rework and sign off on cases upon completion
  • Drive excellent client outcomes through precise, high-quality advice reviews
  • Manage diary effectively and prioritize reviews, particularly focusing on Pre-sale cases


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