Financial Services Compliance Specialist

11 hours ago


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

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:

  1. Maintaining and improving policies and procedures in line with FCA rules.
  2. Managing conflicts of interest and overseeing breach identification and remediation.
  3. Organizing and delivering tailored training programs.
  4. 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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