Compliance Officer, Finance & Banking
Listed on 2026-09-26
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Finance & Banking
Regulatory Compliance Specialist, Financial Services
Compliance Supervisor
£38,000 to £48,000 plus benefits
Compliance Officer required by this highly regarded Financial Planning firm that provides retirement and investment advice to HNW clients. They have an excellent reputation within the region, and they continue to grow including the creation of this role.
You will be responsible for a diverse range of compliance duties supporting internal staff including liaison with regulator, monitoring, reporting, AML, advice checks, file reviews, T&C and data protection whilst ensuring that all regulatory changes are implemented effectively into systems and processes.
Applicants will be currently working in a compliance position or will be experienced in another Financial Services function that includes an element of compliance and regulations. You will also have excellent time management, relationship building and communication skills.
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