Fram Executive Search Limited | Compliance Support Officer

2 days ago


Ledston, United Kingdom Fram Executive Search Limited Full time

Fram are working with an independent Wealth Management firm based in Southwest Devon.
Due to continued growth, they are looking for a Compliance Support Officer, to work with the Wealth Management Director who hold the SMF16/17 responsibilities to ensure regulatory excellence.
You'll develop, implement, and oversee compliance policies and procedures, manage risk assessments, policy reviews, and process improvements to keep our firm aligned with FCA regulations.
An opportunity to play a critical role in maintaining our high compliance standards, work collaboratively with senior management, and contribute to a culture of accountability and excellence in wealth management compliance.
You will also deal with file reviews maintaining T&C scheme and process improvements.
Key Responsibilities cover : Regulatory Compliance & Consumer Duty : Review and improve policies, serve as "Consumer Duty Champion," and advocate for consumer-focused decisions, particularly around price, value, and customer support.
Compliance Monitoring & Reporting : Oversee the Compliance Monitoring Plan, submit regulatory reports, and ensure our operations are transparent and compliant.
Conduct Risk & Conflict Management : Identify and manage conduct risks, conflicts of interest, and maintain the Gifts and Entertainment register.
Training & Regulatory Change : Foster a culture of compliance through training and stay current with regulatory developments via third-party events and resources.
Investment & AML Oversight : Collaborate on investment strategy, lead anti-money laundering efforts, and ensure robust Know Your Client (KYC) practices.
An ideal candidate will have 3+ years in compliance within wealth management.
Hold the Level 4 Diploma in Financial Planning with strong knowledge of FCA regulations and Consumer Duty requirements.
Have Exceptional communication, organizational skills, and a proactive approach.
This is an opportunity to play a critical role in maintaining the firms high compliance standards, work collaboratively with senior management, and contribute to a culture of accountability and excellence in wealth management compliance.
JBRP1_UKTJ



  • Ledston, United Kingdom Fram Executive Search Limited Full time

    Fram Search has a exciting opportunity to join a reputable Wealth Management firm based in the heart of Bedfordshire.Our Client is committed to providing exceptional financial advice and wealth management services to a diverse client base.The team is dedicated, professional, and passionate about helping clients achieve their financial goals.We are seeking a...


  • Ledston, United Kingdom Harris & Co Executive Search Full time

    Job Description Overview: Harris & Co are part of the G&E Group, one of the largest and fastest-growing Executive Search Groups in Leeds.Located in the expansive modern office spanning across two floors, our commitment to growth and excellence is evident.Specialising in executive search, we offer unmatched opportunities for career advancement, international...


  • Ledston, United Kingdom Harris & Co Executive Search Full time

    Overview: Harris & Co are part of the G&E Group, one of the largest and fastest-growing Executive Search Groups in Leeds.Located in the expansive modern office spanning across two floors, our commitment to growth and excellence is evident.Specialising in executive search, we offer unmatched opportunities for career advancement, international travel, and...


  • Ledston, United Kingdom Hbal Executive Search Full time

    We are looking for Brand MD to manage the commercial growth of one of the UK's favourite toy brands.Overview Developing and executing the brand's business strategies.Identifying, developing and mentoring a team that will form the core of the business unit.Preparing and implementing comprehensive plans to drive growth.Developing a clear and detailed view of...


  • Ledston, United Kingdom Th Daniels Full time

    TH Daniels Global Executive Search & Selection was established in 2020 and has since enjoyed exceptional growth.Our 2025 Graduate Scheme is now open to highly ambitious, driven & talented graduates who are keen to immerse themselves in a truly exciting career.At TH Daniels we specialise in placing exceptionally talented individuals across some of the world's...


  • Ledston, United Kingdom Parkinson | Lee Executive Search Full time

    Parkinson Lee Executive Search are currently recruiting a Financial Controller for a Professional Services client of ours in Leeds.This is initially a 12-month FTC to provide robust financial management during a period of change and transformation.As interim Financial Controller, you will be responsible for overseeing and managing all aspects of the...


  • Ledston, United Kingdom Vector Talent Full time

    Job Description Talent Partner, Executive Search – Remote-based within the Manchester / Leeds area Who Are We?At Vector, we are experts in recruitment, serving customers across 12 countries Globally.We are working with many recognised industry brands, hiring their teams in pharmaceutical outsourcing across the Globe.In addition, we have our embedded talent...


  • Ledston, United Kingdom Elite Search Associates Limited Full time

    Job Title: Chief Executive Officer (CEO) - Elderly Care Expansion Location: United Kingdom Salary: Competitive, plus attractive benefits and company shares About the Company: An established leader in the care sector, our client operates successful care businesses across the UK and USA.Building on a solid foundation, the organisation is expanding into elderly...

  • Change Lead

    2 weeks ago


    Ledston, United Kingdom Fram Search Full time

    Our client is a respected discretionary investment manager, who are seeking to appoint an Investment management Change Lead.This is an ideal role for someone who has process improvement and project management experience within an investment or wealth management environment.Our client is seeking a proactive and detail-oriented professional who will focus on...

  • Change Lead

    1 week ago


    Ledston, United Kingdom Fram Search Full time

    Job Description Our client is a respected discretionary investment manager, who are seeking to appoint an Investment management Change Lead.This is an ideal role for someone who has process improvement and project management experience within an investment or wealth management environment.Our client is seeking a proactive and detail-oriented professional who...


  • Ledston, United Kingdom Ruth Moran Full time

    Executive Search Consultant - US Construction IndustryLocation: Leeds (Hybrid working) About UsWe are a premier executive search firm specializing in the construction and built environment sectors.With over two decades of experience connecting top-tier talent with industry-leading organizations, we've established ourselves as the trusted partner for...


  • Ledston, United Kingdom Newman Stewart Ltd Full time

    Business Operations Support Up to £30,000 depending on experience + benefits Wetherby Do you have Customer Service experience and thrive on delivering exceptional results?Do you have a keen eye for detail and want to join a small friendly & supportive team?If so, Newman Stewart want to hear from you.We are looking for a high calibre individual to join our...


  • Ledston, United Kingdom Vector Talent Full time

    Talent Partner, Executive Search – Remote-based within the Manchester / Leeds area Who Are We?At Vector, we are experts in recruitment, serving customers across 12 countries Globally.We are working with many recognised industry brands, hiring their teams in pharmaceutical outsourcing across the Globe.In addition, we have our embedded talent acquisition...


  • Ledston, United Kingdom Vector Talent Full time

    Talent Partner, Executive Search – Remote-based within the Manchester / Leeds area Who Are We?At Vector, we are experts in recruitment, serving customers across 12 countries Globally.We are working with many recognised industry brands, hiring their teams in pharmaceutical outsourcing across the Globe.In addition, we have our embedded talent acquisition...


  • Ledston, United Kingdom Th Daniels Careers Full time

    TH Daniels Global Executive Search & Selection was established in 2020 and has since enjoyed exceptional growth.Our 2025 Graduate Scheme is now open to highly ambitious, driven & talented graduates who are keen to immerse themselves in a truly exciting career.At TH Daniels we specialise in placing exceptionally talented individuals across some of the worlds...


  • Ledston, United Kingdom Calibre Search Full time

    Structural Engineer Leeds Salary up to £40k Calibre Search are working alongside a major UK-based multidisciplinary Engineering Consultancy who have been providing high-quality services to their clients for over 120 years.Due to further workload, they are looking to appoint a Structural Engineer to join their expanding Leeds office on a full time and...


  • Ledston, United Kingdom Th Daniels Full time

    TH Daniels Global Executive Search & Selection was established in 2020 and has since enjoyed exceptional growth. Our 2025 Graduate Scheme is now open to highly ambitious, driven & talented graduates who are keen to immerse themselves in a truly exciting career. At TH Daniels we specialise in placing exceptionally talented individuals across some of the...


  • Ledston, United Kingdom Seven Search And Selection Ltd Full time

    Our client: The business behind many renowned brands, a leading manufacturer of branded and private label food products.Forward-thinking and results-focused, this business has delivered consistent growth over recent years and have some truly exciting plans for the future – this really is a fantastic time for a Commercial Manager to join the Tesco team!The...


  • Ledston, United Kingdom Intellect Uk Group Limited Full time

    Paid Search Campaign Manager Job Description:We are looking for a skilled Paid Search Campaign Manager to join our team in Leeds. As a key member of our digital marketing team, you will be responsible for managing and optimising paid search campaigns across multiple platforms.Key Responsibilities:- Develop and implement paid search strategies to drive...


  • Ledston, United Kingdom Newman Stewart Full time

    Job Description Business Operations Support Up to £30,000 depending on experience + benefits Wetherby Do you have Customer Service experience and thrive on delivering exceptional results?Do you have a keen eye for detail and want to join a small friendly & supportive team?If so, Newman Stewart want to hear from you.We are looking for a high calibre...