Compliance Officer (Yorkshire based/ hybrid)

THE COMPANY:

Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.

THE RESPONSIBILITIES:

• Act as a key compliance advisory point across the Business. Supporting regulated financial advice activities.
• Manage and oversee the compliant handling process, ensuring timely resolution, root cause analysis and appropriate remedial action.
• Support the design, implementation and review of compliance policies and procedures, ensuring alignment with FCA requirements and Group standards.
• Deliver clear and pragmatic compliance advice to business stakeholder on regulatory matters, including suitability of advice, financial promotions, clients’ disclosures and product governance.
• Participate in compliance monitoring reviews and thematic projects, providing expert input where required.
• Support training and development initiatives to enhance compliance understanding across adviser and operational terms.
• Contribute to regular compliance reporting to the Head of Compliance Advisory and senior management.
• Monitor regulatory developments and address their impact on the firm, communicating implications and recommending actions.

EXPERIENCE REQUIRED:

• Candidates MUST have ‘Level 4 CII Diploma in Regulated Financial Planning’
• Proven track record in compliance roles within established and large financial advisory firms
• Deep knowledge and understanding of FCA regulatory requirements, especially around advice, suitability, complaint handling and Consumer Duty
• Extensive experience managing and resolving complaints within a regulated financial advice environment.
• Strong technical knowledge of financial planning products and services (e.g. pensions, investments, protection, tax planning)

For further information please contact Duncan Jeffery