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The Compliance Officer is responsible for supporting the firm in meeting its regulatory obligations and maintaining a strong compliance culture. The role focuses on monitoring adherence to FCA regulations, internal policies, and industry standards, while providing practical compliance advice to the business.
Job Responsibility:
Support the firm’s compliance with FCA rules, guidance, and principles, including the FCA Handbook
Assist in maintaining compliance frameworks, policies, and procedures in line with regulatory requirements
Provide day-to-day compliance guidance to advisers and business stakeholders
Conduct compliance monitoring activities, including file reviews, thematic reviews, and adviser oversight
Identify regulatory risks, control weaknesses, and breaches, escalating issues where appropriate
Track and follow up on remedial actions to ensure timely resolution
Act as a first line of compliance support for regulated advice activities
Review financial promotions, suitability reports, and advice documentation to ensure regulatory compliance
Support the implementation of regulatory change initiatives and communicate updates to relevant stakeholders
Requirements:
Level 4 DipFA qualified
solid understanding of regulated financial advice environments