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Regulatory Compliance Specialist

Regulatory Compliance Lead - Financial Advisory

Job in Leek, Staffordshire, ST13, England, UK
Listing for: Bond Recruitment Ltd
Full Time position
Listed on 2026-02-24
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Job Description & How to Apply Below
A well-established financial advisory firm based in Leek, England, is seeking a Compliance Officer. The successful candidate will lead regulatory change projects, manage FCA reporting, and ensure compliance across various financial policies. Responsibilities include drafting regulatory documents, supervising trainee advisers, and managing risk assessments. Candidates must hold a Level 4 Diploma in Financial Advice and have at least 2 years of experience in a technical financial planning role.
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