Regulatory Compliance Expert

3 days ago


Bath, Bath and North East Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time
Regulatory Compliance Role DescriptionAbout Cathedral Appointments | South West Recruitment

As a leading player in the Financial Services industry, Cathedral Appointments | South West Recruitment is dedicated to fostering a culture of integrity and excellence.

This exciting opportunity for a Compliance Officer allows the successful candidate to utilise their skills and experience in driving regulatory compliance across the organisation.

Main Objectives
  • Regulatory Frameworks: Develop and maintain robust policies to ensure seamless adherence to FCA regulations, particularly concerning Consumer Duty and vulnerability in advice.
  • Risk Identification: Identify potential risks related to conduct, conflicts of interest, and data security, implementing mitigation strategies as necessary.
  • Employee Education: Plan and deliver comprehensive training sessions to enhance employee understanding of regulatory compliance and professional standards.
  • Governance Practices: Conduct regular audits and risk assessments to guarantee adherence to established governance protocols.
Professional Requirements
  • A minimum of 3 years of experience in compliance roles within IFA/Wealth Management, with profound knowledge of FCA rules.
  • Ideal candidates hold Level 4 CII certification or are actively pursuing it.
  • Superior organisational, analytical, and communication skills, complemented by fluency in MS Office applications.
  • Exceptional leadership abilities and a proactive approach to problem-solving.
Compensation and Benefits

The successful candidate can expect a highly competitive remuneration package, encompassing an estimated salary range of £50,000 - £70,000 per annum, plus attractive benefits, including 25 days annual leave, pension scheme, and statutory sick pay.



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