Futuristic dot matrix display with a Compliance concept

Senior Compliance Officer

An exciting opportunity has arisen with a prestigious wealth management firm that are looking for an experienced Compliance professional to take a lead role in the continued development of their compliance programme, they are very proud to be an independent Financial advisory firm.

They see how key a strong compliance function helps them to continue to provide an excellent service to their clients as well as ensuring the company meets all regulatory requirements and operates within the boundaries of the law to ensure both the firm and their clients are protected

The successful candidate for this role will be a dedicated and knowledgeable financial services professional who has achieved “Diploma” status. You will be responsible for conducting compliance audits on a full range of wealth management business submitted by the group. You will also contribute to the identification and research of trends that will lead to training needs or the amendment of products. Additionally, you will provide feedback to remote management teams and IFA’s on required changes to cases, and offer knowledgeable technical support services to the business in relation to the correct documentation for all case types.

On a day-to-day basis, you will be file checking a range of business submitted by our IFA’s and providing feedback. You will work closely with our IFA’s to ensure that all regulatory requirements are met, and that our company is operating within the boundaries of the law. Your strong attention to detail, ability to work independently, and excellent communication and organisational skills will be essential to your success in this role.

As their Compliance Officer, you will need to stay up-to-date with changes in the industry and have a strong understanding of financial regulations. Your self-motivation and ability to work under pressure will also be critical to your success. In return, we offer a dynamic and challenging work environment with opportunities for growth and career advancement.

In summary, this is an exciting opportunity for an experienced Compliance Officer to join a prestigious wealth management firm and contribute to the outstanding level of service they provide to their clients. If you are a dedicated and knowledgeable financial services professional with a strong understanding of financial regulations, excellent attention to detail, and the ability to work independently, I would be keen to have a conversation.

Required experience:

  • 10 years plus of experience within wealth management/financial services
  • Experience of working in a financial advisory firm
  • Strong knowledge and experience of working within a compliance function.
  • Experience of advising the business around regulation and of compliance monitoring

The role will be based out of their Hertfordshire office just north of London

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