Compliance Officer


  • £35000 - £42000 per annum
  • Cheltenham
  • Posted: 18/11/2019
  • Permanent
  • Job Ref: MXT 648269 CO

Job Details

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


We are offering you a new and exciting opportunity! If you are a driven and enthusiastic Compliance Office who wants to be a part of a developing and growing company, this could be the role for you.

A growing Financial services company based in Cheltenham is looking to further establishing themselves in the market and appointing a new Compliance Officer is an essential part of this development process. You will be working as part of the Compliance Team.  


The Role  

As Compliance Officer you will be reporting to the Head of Compliance. You will be expected to develop and apply compliance policies whilst monitoring and ensuring their stringent implementation. You will need to have a hands on approach to establishing the correct framework for compliance controls and will continue to build and develop the function for the business.  



Other duties

  • Safeguard the company business by ensuring compliance with FCA regulations by monitoring company processes
  • Formulate and develop suggestions for modifications and improvements to the companies policies
  • Administer the compliance overview program to ensure all is within approved timescales
  • Successfully run the audit process to pre-emptively avoid infractions and any issues
  • Present meaningful MI for key stakeholders and board members to stimulate business improvement

What are we looking for?

  • Ideally a candidate  5 years + within the IFA or wealth management space environment
  • Demonstrate a sound understanding of a variety of FCA regulations including MiFID II, SM&CR
  • You will be driven and ambitious as there is a clear pathway to promotion within two years.

What’s on offer?
A very attractive salary in addition to a variety of benefits:

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


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