Job Description

This position would suit someone who has experience in Compliance based roles within a Financial Advice firm previously, but is looking to join a firm that can allow them to continue to develop their career professionally whilst taking on more duties and helping shape the ongoing compliance duties within the firm.

This role is a hands on position for someone who is looking to help lead and drive the process improvements at the firm including duties such as: compliance monitoring, providing guidance on regulatory changes, signing-off new client documentation and working with the FCA. There is also an element of Risk management including updating the Risk Framework and reporting to the board on risk-related matters.

Ideally, you would be a pro-active professional and someone who is comfortable implementing change whilst making business-focussed decisions to improve the ongoing successes of a developing firm.

Required Knowledge, Skills, and Abilities

• Level 4 Diploma Qualified would be advantageous
• Experience in working within a compliance role within financial services previously. Ideally, within a Wealth Management / Financial Planning / IFA environment.
• Strong technical knowledge particularly around pensions and investments.
• Strong understanding of the FCA and an ability to stay on top of ever-changing regulations.