Compliance Officer

24 hours ago

Leicester, Leicester, United Kingdom Eden Rose Full time

Remote Compliance Officer
£50,000 – £54,000
We are supporting a respected wealth management firm that believes exceptional financial planning is built on integrity, trust, and a deep understanding of client needs. They deliver advice that goes beyond products, focusing on ethical practice, transparency, and long-term client wellbeing.

As a
Remote Compliance Officer
, you'll be an integral part of ensuring the firm maintains the highest standards of regulatory compliance. You will play a key role in supporting the firm's adherence to FCA regulations and internal compliance procedures. You'll work closely with advisers and senior management to ensure the business operates within a compliant framework while maintaining its commitment to excellent client service.

Benefits
£50,000 – £54,000

Fully remote role

Pension contribution

Private Medical Insurance

Death in Service

A collaborative and supportive culture that encourages development and continuous improvement

Clear pathways to progress into senior compliance or management roles

Key Responsibilities

  • Monitor and review adviser files for compliance with FCA rules and internal policies
  • Provide clear, practical guidance to advisers and staff on compliance related matters
  • Maintain and develop internal compliance policies and procedures
  • Conduct compliance training and briefings for staff
  • Assist with regulatory reporting, audits, and liaison with external compliance consultants
  • Stay abreast of industry and regulatory developments and interpret implications for the firm
  • Support with complaint handling, breaches, and incident investigations
  • Prepare compliance reports for management and board meetings

To Be Considered You Will Need

  • Previous experience in a compliance role within an IFA or wealth management environment (MUST HAVE)
  • Relevant compliance qualifications (CII Level 4 Diploma) are desirable
  • A strong understanding of FCA regulatory requirements and suitability guidelines
  • Excellent communication, analytical, and decision making skills
  • Proficient in using CRM and compliance or advice tools/software

Apply today
to be considered for this Remote Compliance Officer opportunity. If this specific vacancy isn't the perfect match, please still get in touch, we support a wide range of roles across the financial planning sector.

Additionally, if you know someone who could be a great fit, please refer them as our referral scheme offers £200 if we successfully support them in securing a new role.

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