Financial Services Compliance Specialist
11 hours ago
Cathedral Appointments is seeking a highly motivated Financial Services Compliance Specialist to join our team.
Job Description:This role offers a hybrid working model, with 4 days in the office and 1 day working from home.
The successful candidate will be responsible for overseeing compliance monitoring plans, audit files, and collaborating on governance reviews to ensure operational integrity.
Key Responsibilities include:
- Maintaining and improving policies and procedures in line with FCA rules.
- Managing conflicts of interest and overseeing breach identification and remediation.
- Organizing and delivering tailored training programs.
- Ensuring staff are equipped with compliance knowledge and maintain professional certifications.
The ideal candidate will have a minimum of 3 years' experience in compliance within IFA/Wealth Management, with knowledge of FCA regulations.
They will possess strong organisational, analytical, and communication skills, with attention to detail and proficiency in Microsoft Office.
Estimated Salary: £40,000 - £50,000 per annum.
Benefits:
- 25 days annual leave + bank holidays.
- Pension Scheme 3% employer contribution.
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