Compliance Officer / Compliance Manager Financial Planning / Wealth Management
Birmingham | Hybrid Working
An established and growing independent financial planning firm in the West Midlands is seeking a Compliance Officer to support the business during continued growth.
Key Responsibilities
- Monitor FCA regulatory requirements and advise senior management
- Compliance monitoring, risk assessments and reporting
- Oversight of client file reviews (high-risk in-house; low-risk outsourced)
- FCA reporting and maintenance of the FCA Directory
- Adviser Training & Competency, FIT assessments and CPD oversight
- Policy and procedure review
- Oversight of PII, cyber insurance and complaints handling
- Due diligence on providers and third parties
Skills & Experience
:- Minimum 2 years’ experience in a Compliance Officer role within an IFA / wealth management environment
- Strong working knowledge of FCA regulations applicable to IFA firms
- Experience of compliance monitoring, file reviews and regulatory reporting
- Level 4 diploma in financial planning qualification (or working towards)
