Regulatory Compliance Lead - Financial Advisory

Bond Recruitment Ltd; Leek; On-site; GBP 30,000 - 50,000; Full time

Job summary

A well-established financial advisory firm based in Leek, England, is seeking a Compliance Officer. The successful candidate will lead regulatory change projects, manage FCA reporting, and ensure compliance across various financial policies. Responsibilities include drafting regulatory documents, supervising trainee advisers, and managing risk assessments. Candidates must hold a Level 4 Diploma in Financial Advice and have at least 2 years of experience in a technical financial planning role.

Qualifications

• Minimum 2 years in a technical financial planning role.
• Experience with regulatory compliance in a financial services environment.

Responsibilities

• Lead and implement all regulatory change projects.
• Complete ongoing FCA reporting returns.
• Draft key regulatory documents for the directors.

Skills

Regulatory change implementation

FCA reporting

Risk management

Data management

Education

Level 4 Diploma in Financial Advice

Job description

A well-established financial advisory firm based in Leek, England, is seeking a Compliance Officer. The successful candidate will lead regulatory change projects, manage FCA reporting, and ensure compliance across various financial policies. Responsibilities include drafting regulatory documents, supervising trainee advisers, and managing risk assessments. Candidates must hold a Level 4 Diploma in Financial Advice and have at least 2 years of experience in a technical financial planning role.