Compliance Officer (12-month Maternity Cover)

Saltus; Greater London; Hybrid; GBP 40,000 - 45,000; Full time

Job summary

An established industry player is seeking a passionate Compliance Officer for a 12-month maternity cover. In this role, you will join a dynamic Compliance and Risk team, working collaboratively in a fast-paced environment. Your expertise will be crucial in ensuring compliance with regulations and delivering excellent outcomes for clients. With a commitment to a positive work culture, this forward-thinking firm offers flexibility and growth opportunities, making it a great place for professionals to thrive. If you're ready to make a meaningful impact in the financial sector, this position is perfect for you.

Benefits

28 days holiday

Life Assurance

Income Protection

Pension

Flexible Benefits Platform

Qualifications

• Experience in compliance within financial services.
• Understanding of FCA Handbook and three lines of defence model.

Responsibilities

• Oversee and review complaints, ensuring fair treatment of customers.
• Support T&C Framework and conduct annual assessments.
• Maintain compliance registers and provide support on regulatory changes.

Skills

Compliance Knowledge

Regulatory Understanding

Interpersonal Skills

Attention to Detail

Communication Skills

Education

Level 4 Diploma in Regulated Financial Planning

Job description

Compliance Officer (12-month Maternity Cover)

Compliance Officer (12-month Maternity Cover)

1 week ago Be among the first 25 applicants

This range is provided by Saltus. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

Direct message the job poster from Saltus

We are looking for an organised, enthusiastic, and knowledgeable Compliance professional to join our growing Compliance and Risk team. As part of the team, you’ll have the opportunity to work in a fast-paced, collaborative environment where you’ll be able to utilise your skills and expertise to deliver amazing outcomes for our clients.

Why Saltus?

Our mission is to improve everyone’s relationship with their wealth: to make it a positive force for their future and at the same time to prevent it being a source of anxiety. We want everyone who works at Saltus to be proud to work here, and to find fulfilment and meaning in the work that they do.

We are incredibly proud of our culture and work really hard to ensure that Saltus is a great place to work for our people, where they can have fun and grow in their career, with a passion for excellence and customer service.

We're proud that we've been recognised as a winner by the Sunday Times in the Best Places to Work 2024 awards, as well as a winner in the Professional Adviser awards 2024 for the Best Financial Advisers to Work For. These accolades reflect our commitment to creating an exceptional work environment and our dedication to excellence in the financial industry. Join our award-winning team and be a part of our continued success!

Saltus is a privately owned financial planning and discretionary investment management house. We are dedicated to providing a high-quality service for private clients, trusts, and smaller institutions. Saltus Partners was founded in 2004 and has grown organically and through a small number of carefully integrated acquisitions. Originally the business started out as an investment manager and has now developed the financial planning side of the offering, putting this at the forefront of the client relationship.

Today Saltus manages and advises on over £8 billion of client assets, acquired through a combination of organic business growth and corporate acquisitions.

Role and responsibilities

The role responsibilities include the following:

• Overseeing and reviewing complaints should they arise and calculating any potential redress to ensure we treat all our customers fairly.
• Overseeing in the allocation of file checks to test the quality of advice given by Saltus advisers. This would also include tracking MI on checks to help new advisers reach competent adviser status (“CAS”).
• Supporting the T&C Framework from Saltus advisers including completing the annual Fit and Proper assessments.
• Complete Financial Promotion reviews to ensure they are fair, clear and not misleading.
• Working on the policy framework to ensure policies remain current and are presented to the relevant Boards and Committees for sign off when due.
• Horizon Scanning for any new or updated regulation and assessing any potential impact on both Saltus and our clients.
• Adviser Support where necessary on technical questions, including liaising with Three Sixty (or any other compliance third party) to establish Saltus’ position.
• Maintaining various Registers of activity, including conflicts of interest, breaches, errors, and gifts and inducements.
• Providing compliance support on projects as we respond to changes in regulation or look to make improvements to how we operate.
• Assisting in production of monthly MI for the Compliance section of the Group monthly data pack.

What sort of person are we looking for?

• A passion for helping Saltus remain compliant and to continue to provide the best possible outcomes for our clients.
• Level 4 Diploma Qualified in Regulated Financial Planning
• Previous compliance experience in a first line capacity, including an understanding of how a three lines of defence model works.
• A sound working knowledge of the FCA Handbook.
• Experience within the Financial Services industry, ideally within a private client advice or asset management / DFM business.
• The desire to take on a variety of tasks, adapting to changing business needs.
• Excellent interpersonal, verbal, and written communication skills with strong attention to detail.
• Outstanding communication skills, able to communicate across the business at all levels.
• The ability to take ownership and responsibility for tasks and projects, working autonomously and collaborating as needed with key stakeholders.
• A willingness and flexibility to travel to office sites as required. If you are able to drive and have your own transport, that would be highly advantageous.
• Qualifications in Financial Services, either as an adviser or in Compliance, Risk, or Supervision.

Where will I be working?

We are looking for someone to work from our Whiteley, London, or Bath office, offering hybrid working, which includes 2 days in the office, with the remainder at home. We’re incredibly flexible about when and how you work: we don’t want anyone to be prevented from coming to work for Saltus as a result of the working pattern that they’re looking for. We are passionate about championing flexible working for our people, so if there’s a slightly different working pattern that you’re looking for, then please come and have a chat to us about it!

What benefits do I get when working for Saltus?

The salary is £40,000-£45,000 depending on experience, alongside 28 days’ holiday (plus bank holidays), life assurance, income protection and a pension, alongside access to our flexible benefits platform. Just as importantly, you’ll get to experience our culture, which we really do live and breathe ensuring that Saltus is a fantastic place to work for every single one of our 350+ people. We work hard, but we have an awful lot of fun along the way. If you think you’d like to come and join us, then please do get in touch… we’d love to hear from you.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Temporary

Job function

• Job function

  Administrative, Analyst, and Quality Assurance

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