Job Description
Compliance Officer London / WFH to £65k
Do you have expertise with financial compliance / FCA regulations?
You could be progressing your career at a rapidly growing wealth management business.
As a Compliance Officer you'll act as the key compliance contact for the London office. You will provide day-to-day regulatory advice to investment directors, operational teams and local leadership, ensuring alignment with FCA requirements, internal policies and Conduct Rules.
You will support delivery of the Compliance Monitoring Plan, carrying out file reviews, suitability assessments, monitoring investment activity and thematic reviews, while providing oversight of Investment Directors' conduct and adherence to best practice.
You'll be part of the London Management Committee and will contribute to local governance, providing regular reporting to senior compliance leadership on risks, breaches and emerging trends. You will also support the implementation of compliance policies, promote a strong culture of regulatory awareness and Consumer Duty and help identify and remediate potential risks.
Alongside monitoring activities, you will deliver compliance briefings and training, acting as a trusted adviser to the business and supporting a collaborative, open compliance culture.
Location / WFH:
You'll join the team in London three days a week in a hybrid model with flexibility to work from home twice a week.
About you:
- You have strong compliance experience within retail investment management, wealth management, or stockbroking
- You have experience of working directly with retail clients from a compliance oversight or advisory perspective
- Youi have a strong understanding of FCA rules including COBS, SYSC, PROD, Consumer Duty and SM&CR
- You have experience of conducting compliance monitoring, file reviews or supervisory oversight
- You can work independently, exercise sound judgement and proactively identify risks
- You have excellent communication skills with the ability to influence and support stakeholders
What's in it for you:
As a Compliance Officer you will receive a competitive package:
- Salary to £65k
- Pension (7.5% employer contribution)
- 25 days holiday, with ability to buy or sell up to 5 days per year
- Private Medical Insurance, Life Insurance and Income Protection Insurance
- Employee Assistance Programme
- 2 days per year volunteering days
- Plus a range of other flexible benefits
Apply now to find out more about this Compliance Officer opportunity.
At Client Server we believe in a diverse workplace that allows people to play to their strengths and continually learn. We're an equal opportunities employer whose people come from all walks of life and will never discriminate based on race, colour, religion, sex, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. The clients we work with share our values.
