Remote Compliance Officer — Wealth Management

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

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.