Wealth Compliance Officer: Risk & Governance

Clayton Davies Ltd; Sheffield; On-site; GBP 40,000 - 60,000; Full time

Job summary

Clayton Davies Ltd is seeking a Compliance Officer to join the Compliance function and support the Head of Compliance. The role is broad, exposing you to regulatory oversight, adviser support, quality assurance, customer outcomes and risk management.

You will work with senior stakeholders to maintain high compliance standards while promoting integrity, governance and positive customer outcomes across the business.

Qualifications

• Level 4 Diploma in Financial Planning (or equivalent) required.
• Sound knowledge of FCA regulatory requirements and industry best practice.
• Previous Compliance experience within an IFA or wealth management firm.

Responsibilities

• Provide day-to-day guidance on regulatory and compliance matters across the business.
• Support the development, maintenance and continuous improvement of compliance processes and controls.
• Review business activities to ensure adherence to regulatory obligations and internal standards.
• Investigate customer concerns and complaints, ensuring fair and timely resolution.
• Assist with adviser oversight, competency development and quality monitoring activities.
• Review and approve external communications and marketing materials where required.
• Deliver regulatory updates and compliance guidance to colleagues across the organisation.
• Identify emerging risks, trends and areas of concern, escalating findings where appropriate.
• Contribute to compliance monitoring, thematic reviews and governance reporting.
• Support initiatives that strengthen risk awareness, conduct standards and customer-focused outcomes throughout the business.

Skills

Regulatory knowledge

Compliance oversight

Stakeholder communication

Education

Level 4 Diploma in Financial Planning

Job description

Clayton Davies Ltd is seeking a Compliance Officer to join the Compliance function and support the Head of Compliance. The role is broad, exposing you to regulatory oversight, adviser support, quality assurance, customer outcomes and risk management.

You will work with senior stakeholders to maintain high compliance standards while promoting integrity, governance and positive customer outcomes across the business.