Senior Compliance Officer

Overview

In this role, you lead the ongoing development of a compliance programme for a prestigious wealth management firm. You will ensure regulatory alignment across the wealth management and advisory activities and support the business with technical compliance guidance. You will audit submissions from IFAs, identify training or product changes from insights, and communicate findings to management. The position combines independent work with collaboration across remote teams, under pressure to uphold high standards of accuracy and legal compliance. This is an opportunity to shape a robust compliance culture while supporting client service excellence.

Pay / Benefits

• dynamic and challenging work environment
• opportunities for growth and career advancement
• competitive salary
• collaborative cross-team engagement

Responsibilities

• Conduct compliance audits across the wealth management business submitted by the group
• Identify trends to inform training needs or product amendments
• Provide feedback to remote management teams and IFAs on case changes
• Offer technical compliance support regarding correct documentation for all case types
• File-check a range of cases submitted by IFAs and provide feedback
• Ensure regulatory requirements are met and operations stay within the law
• Stay up-to-date with regulatory changes and interpret impact for the business

Key requirements

• 10+ years of experience in wealth management/financial services
• Experience in a financial advisory firm
• Strong knowledge and experience in a compliance function
• Experience advising the business on regulation and compliance monitoring
• Diploma status (professional)
• Location-based requirement for Hertfordshire/London office
• Proven ability to work independently and under pressure

• strong communication
• excellent attention to detail
• independence and self-motivation
• financial regulations knowledge
• compliance monitoring
• regulatory requirements interpretation

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