Financial Services Governance Specialist

1 day ago


Bath, Bath and North East Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time
Compliance Position OverviewAbout Us

Cathedral Appointments | South West Recruitment is a respected name in the Financial Services sector, boasting a forward-thinking approach to employment and a commitment to excellence.

We're currently seeking an exceptional Compliance Officer to join our ranks, bringing their expertise in regulatory affairs to drive business success.

Main Responsibilities
  • Policy Development: Create and maintain effective policies to safeguard against FCA rule breaches and enhance overall compliance.
  • Risk Management: Identify and mitigate potential risks associated with conduct, conflicts of interest, and data security.
  • Staff Training: Design and implement targeted training programs to elevate employee compliance knowledge and bolster professionalism.
  • Operational Oversight: Ensure adherence to established governance protocols, conducting regular audits and risk assessments as needed.
Qualifications and Skills
  • A minimum of 3 years' experience in compliance roles within IFA/Wealth Management.
  • Familiarity with FCA regulations and ideally, Level 4 CII certification.
  • Excellent organisational, analytical, and communication skills, coupled with proficiency in MS Office.
  • Ability to motivate and lead teams effectively.
Remuneration Package

We offer a competitive remuneration package, including an estimated salary range of £45,000 - £65,000 per annum, plus benefits such as 25 days annual leave, pension scheme, and statutory sick pay.



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