Compliance Officer

Posted 21 May by Premier Jobs UK Limited Easy Apply

Are you an experienced IFA compliance officer looking to join a leading independent financial planning and discretionary wealth management firm?

The Company

Founded in 2001, this leading independent, directly authorised wealth management firm has become one of the most successful Wealth Managers through organic growth and from acquisitions with invested assets in excess of £700 million under administration. The larger group is AIM listed and currently has over 80 Financial Advisers with in excess of £3bn of AUI. They are looking to urgently recruit a Compliance Officer to join their team.

Roles and Responsibilities

Your main responsibility in this role as part of a team of 5 Compliance Officers working from their head office and within a much wider team nationally, would be completing the regulatory file checking for 80+ Financial Advisors and providing the pre and post-sale approval. You would also assist the Head of Compliance with the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures. Resolving client complaints, you will be expected to communicate your investigations with third parties such as the Financial Ombudsman Service.

Requirements to consider

In order to be considered for this role you must be level 4 Diploma qualified in Financial Advice. Ideally holding G60/AF3, although not essential. Having previous experience of working within Financial Services in the Compliance or Advisory sector e.g. Financial Advisor or Paraplanner is required. Knowledge of FCA regulation is essential. Experience in regulated complaints handling would be an advantage.


  • Basic salary of £30,000 - £35,000 pa depending on qualifications and experience
  • 20 days holiday plus bank holidays
  • Auto enrolment pension terms
  • Normal office working hours (9am - 5:30pm), based from their Head Office
  • Free car parking available on site



Liability and Disclaimer

The information contained in our advert including any salary or on target earnings information are given in good faith and Premier Jobs UK Ltd uses all reasonable efforts to ensure that it is accurate. However, Premier Jobs UK Ltd gives no representation or warranty in respect of such information and all such representations and warranties, whether express or implied, are excluded. No liability is accepted by Premier Jobs UK Ltd for any loss or damage which may arise out of any person relying on or using any information within this advert.

Required skills

  • Compliance
  • Financial Planning
  • Financial Services

Reference: 35192693

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