Compliance Officer, Finance & Banking

Our client is a leading wealth management firm who are seeking a Compliance Officer to join the Compliance function and support the Head of Compliance. This is a broad and varied role offering exposure to regulatory oversight, adviser support, quality assurance, customer outcomes and risk management. You will work closely with senior stakeholders across the business, helping to maintain high compliance standards while supporting a culture focused on integrity, good governance and positive customer outcomes.

Role & Responsibilities:
Provide day-to-day guidance on regulatory and compliance matters across the business. Support the development, maintenance and continuous improvement of compliance processes and controls. Review business activities to ensure adherence to regulatory obligations and internal standards. Investigate customer concerns and complaints, ensuring fair and timely resolution. Assist with adviser oversight, competency development and quality monitoring activities. Review and approve external communications and marketing materials where required.

Deliver regulatory updates and compliance guidance to colleagues across the organisation. Identify emerging risks, trends and areas of concern, escalating findings where appropriate. Contribute to compliance monitoring, thematic reviews and governance reporting. Support initiatives that strengthen risk awareness, conduct standards and customer-focused outcomes throughout the business. Do you have the following to apply? Level 4 Diploma in Financial Planning (or equivalent) Sound knowledge of FCA regulatory requirements and industry best practice.

Previous Compliance experience within an IFA or wealth management firm. Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.