Compliance Officer (Remote)

Remote Compliance Officer
£50,000 – £54,000
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’ll 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.