Compliance Officer

Full Job Description

Job Title: Compliance Officer - Wealth Management
Location: Aylesbury, UK
Salary - negotiable dependent on experience

Benefits:

• 8% pension
• Group life cover
• 25 days of annual leave plus bank holidays and Christmas closure
• Opportunities for career progression
• Additional benefits to be enhanced as the company grows

About Us: We are representing a rapidly-growing wealth management firm dedicated to providing personalised financial solutions to theirclients. With a focus on integrity, expertise, and client-centric service, theystrive to exceed expectations and build lasting relationships.

Job Description: Weare seeking an experienced Compliance Officer to join theteam as they embark on an exciting phase of growth, including an upcoming acquisition in the next few months. The ideal candidate will have extensive experience in the Financial Planning sector and possess the knowledge and skills necessary to navigate the regulatory landscape with confidence.

Key Responsibilities:

• Oversee and manage compliance functions, ensuring adherence to regulatory requirements and internal policies.
• Act as a safe pair of hands in leading the compliance team, with a focus on scalability as the company expands.
• Collaborate closely with senior management, including sitting on the leadership team alongside key stakeholders
• Taking ownership of senior manager functions (SMF16 & SMF17) and providing strategic guidance to ensure compliance best practices.

Qualifications and Experience:

• Proven experience in the IFA sector, with a strong understanding of regulatory frameworks and compliance requirements.
• Familiarity with FCA regulations and the ability to obtain approval for senior manager functions.
• Demonstrated leadership skills, with the ability to effectively manage and develop a compliance team.
• A balance of hands-on compliance experience and the ability to take a strategic, leadership-oriented approach.

Why Join Us:

• Opportunity to join a dynamic and collaborative team in a period of significant growth.
• Work alongside experienced professionals who are dedicated to delivering exceptional service to our clients

What next?

Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.

Additionally, refer a friend or colleague to us and receive 200 in vouchers if we assist them in securing a new career.

Synonyms: Compliance, IFA, Financial Planning, Advisory, Wealth Management, Financial Planners, Head of Compliance, Compliance Officer, Compliance Consultant, Director of Compliance, Compliance Analyst, Compliance Executive, Risk, FCA