Senior Compliance Officer

An exciting opportunity has arisen with a prestigious wealth management firm that are looking for an experienced Compliance professional to take a lead role in the continued development of their compliance programme, they are very proud to be an independent Financial advisory firm.

They see how key a strong compliance function helps them to continue to provide an excellent service to their clients as well as ensuring the company meets all regulatory requirements and operates within the boundaries of the law to ensure both the firm and their clients are protected

The successful candidate for this role will be a dedicated and knowledgeable financial services professional who has achieved “Diploma” status. You will be responsible for conducting compliance audits on a full range of wealth management business submitted by the group. You will also contribute to the identification and research of trends that will lead to training needs or the amendment of products. Additionally...