Compliance Officer

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Compliance Manager, Financial Planning / Wealth Management, Birmingham

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

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)

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