Compliance Officer


  • £35000 - £42000 per annum
  • Cheltenham
  • Posted: 07/11/2019
  • Permanent
  • Job Ref: LIV12WM

Job Details

Compliance Officer - Cheltenham £35-42K+ Flexible working  

My client, a growing Financial Services company  based in Cheltenham is looking to further establish themselves in the market. Hiring an outstanding Compliance officer is an essential part of this process and to strengthen the Compliance team.  

The Role  

Reporting to the Head of Compliance the Compliance Officer will be expected to develop and apply compliance policies whilst monitoring their implementation. The ideal individual will have a pro-active approach to establishing the correct framework for controls and  continue building the compliance function for the business.  

Other duties

  • Track company processes to confirm the business is compliant with FCA regulations
  • Prepare and develop concrete suggestions for amendments and improvements
  • Manage the compliance overview program to ensure all is within approved timescales
  • Effectively manage the audit process to pre-emptively avoid infractions and any issues
  • Produce meaningful MI for key stakeholders and board members to stir business improvement



What are we looking for?

  • Ideally a candidate  5 years + within the IFA or wealth management space environment.
  • Display a sound grasp of a variety of FCA regulations including MiFID II, SM&CR.
  • You will be a driven individual with plenty of ambition as there is a clear pathway to promotion within 2 years.


What’s on offer?

In addition to the attractive salary the role also attracts a variety of benefits

  • 25 days holiday
  • Free parking
  • Flexible working including work from home with the option of working a 4 day week



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