Compliance Regulatory Officer

Job details

Location Central London, United Kingdom
Date Posted 3rd September 2019
Category Compliance
Sector Investment
Retirement Planning
Wealth Management
Salary £30,000 to £34000 basic + bonus and benefits.
Industry Financial Services
Education Degree
Professional Quals Industry recognised ideally.
Work Hours Full
Reference 5042
Hiring Company Recruitment Connection Ltd
Region South East
Street Address N/A


Compliance Regulatory Officer


£30,000 to £34000 basic + bonus and benefits.

My client is a highly successful FCA registered financial planning and tax consultancy with established operations throughout Europe and the UK.  This is a new role supporting  the Head of Compliance and Senior Compliance & Regulatory Manager with keeping abreast with any legal and/or regulatory developments at UK/EU level. This will focus on FCA, FOS and FSCS developments as well as assisting in reviewing and tracking relevant FCA consultations and other policy documents.

You will also be responsible for the reviewing of new client reports within the UK market, supporting the non-UK compliance monitoring programme when required and responding to client complaints and for one-off compliance/regulatory projects arising from time-to-time.

You will need to be degree or equivalent educated, qualifications in compliance, regulation or AML and financial crime and have 2 years experience in a similar post within an IFA or similar wealth advisory operation.  You should excellent communication skills and ideally experience of assisting the company’s MLRO.

Ref: 5042

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Simon Bean is managing director of the Recruitment Connection and has been recruiting since 1985. He is a Fellow of the Institute of Recruitment Professionals (IRP).