Compliance Officer (Remote)

Heat Recruitment; Remote; GBP 50,000 - 54,000; Full time

Job summary

A respected wealth management firm seeks a Remote Compliance Officer to ensure adherence to FCA regulations and internal compliance procedures. This role involves monitoring adviser files, providing guidance, and conducting training. The ideal candidate has previous experience in compliance within IFA or wealth management, along with strong communication and analytical skills. The position offers a salary of £50,000 - £54,000 and includes benefits such as private medical insurance and a collaborative culture focused on development.

Benefits

Pension contribution

Private Medical Insurance

Death in Service

Clear pathways for progression

Qualifications

• Previous experience in a compliance role within an IFA or wealth management environment.
• Strong understanding of FCA regulatory requirements and suitability guidelines.
• Proficient in using CRM and compliance tools.

Responsibilities

• Monitor and review adviser files for compliance with FCA rules.
• Provide practical guidance to advisers on compliance matters.
• Conduct compliance training and briefings for staff.

Skills

Excellent communication

Analytical skills

Decision-making skills

Strong understanding of FCA regulations

Education

Relevant compliance qualifications (CII Level 4 Diploma)

Tools

CRM systems

Compliance or advice tools/software

Job description

Location: Leicester

Salary: £50,000 - £54,000

Type: Permanent

Workplace: Remote

Reference: Ref89521

Recruiter Managing This Role

Remote Compliance Officer

We are supporting a respected wealth management firm that believes exceptional financial planning is built on integrity, trust, and a deep understanding of client needs. They deliver advice that goes beyond products, focusing on ethical practice, transparency, and long‑term client wellbeing.

As a Remote Compliance Officer, you will be an integral part of ensuring the firm maintains the highest standards of regulatory compliance. You will play a key role in supporting the firm’s adherence to FCA regulations and internal compliance procedures. You’ll work closely with advisers and senior management to ensure the business operates within a compliant framework while maintaining its commitment to excellent client service.

Benefits

• £50,000 - £54,000
• Fully remote role
• Pension contribution
• Private Medical Insurance
• Death in Service
• A collaborative and supportive culture that encourages development and continuous improvement
• Clear pathways to progress into senior compliance or management roles

Key Responsibilities

• Monitor and review adviser files for compliance with FCA rules and internal policies
• Provide clear, practical guidance to advisers and staff on compliance related matters
• Maintain and develop internal compliance policies and procedures
• Conduct compliance training and briefings for staff
• Assist with regulatory reporting, audits, and liaison with external compliance consultants
• Stay abreast of industry and regulatory developments and interpret implications for the firm
• Support with complaint handling, breaches, and incident investigations
• Prepare compliance reports for management and board meetings

To be considered you will need

• Previous experience in a compliance role within an IFA or wealth management environment (MUST HAVE)
• Relevant compliance qualifications (CII Level 4 Diploma) are desirable
• A strong understanding of FCA regulatory requirements and suitability guidelines
• Excellent communication, analytical, and decision making skills
• Proficient in using CRM and compliance or advice tools/software

Apply today to be considered for this Remote Compliance Officer opportunity. If this specific vacancy isn’t the perfect match, please still get in touch, we support a wide range of roles across the financial planning sector.

Additionally, if you know someone who could be a great fit, please refer them as our referral scheme offers £200 if we successfully support them in securing a new role.