Compliance Adviser

Our client is a well-established and reputable IFA firm dedicated to delivering high-quality financial advice and exceptional client service. As part of their continued growth, they are seeking an experienced Compliance Adviser to join their team and help ensure our business continues to operate to the highest regulatory standards.

As a Compliance Adviser, you will play a key role in overseeing the firm’s adherence to FCA rules and internal policies.

• Act as a point of contact for colleagues across the business, offering clear guidance on regulatory expectations and internal policy matters.
• Contribute to safeguarding the business from financial crime by carrying out controls and checks relating to fraud, money laundering, and bribery/ corruption risks.
• Produce, review, and maintain internal policies, procedures, and guidance materials to reflect regulatory obligations and organisational standards.
• Support the firm’s training and competence framework by coordinating learning activities, creating and delivering online training content, monitoring adviser progress toward competence, and managing tasks linked to annual certification requirements.
• Help increase regulatory awareness by preparing regular compliance communications, such as monthly updates, and by developing and delivering training sessions on new or evolving requirements.