Compliance Officer

Working closely with the advisory team, your role will be to provide compliance and regulatory advice to the business and the advisors on the financial planning and investment solutions they offer to clients.

You will be involved with ensuring advice is 'fit for purpose', follows company and regulatory requirements and that the company as a whole has guidance around procedures which are robust and repeatable.

You may need to liaise with the FCA, help to ensure that knowledge and competency is maintained throughout the business and help to assess and mitigate risk to the business.

About the Company:

Our client is a boutique wealth manager with well over GBP200m AUM. They manage client investments and financial planning and offer a one stop solution for HNW and UHNW clients, with regard to any of their financial needs.

Although their office is based near to Bath, their clients are typically based in London and surrounding counties as well as globally.

This is a business that is ahead of the game when it comes to their operations, structure, charges and portfolio management.

Key Skills/Experience Required:

Their ideal candidate will be a compliance officer with experience of working within financial planning or wealth management. They are looking for someone who has the diploma in financial planning as a minimum. The candidate will need to demonstrate up to date knowledge of the investment and financial planning market.

Salary/Benefits Information:

The salary on offer will much depend on the experience of the candidate. The range is starting salary of between GBP30,000 - GBP35,000 with regular reviews and a commitment to upskill and train the individual. This is a progressive company that can offer long term opportunities.

Contact: Louise Sheppard

Reference: LS/23569

Candidate Care:

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If your application is successful, we will contact you to discuss the opportunity in more detail, within 48 hours of receiving your application.

Should you not hear from us within 3 working days please assume your application has been unsuccessful on this occasion. Please be advised that if unsuccessful for this role we may keep your details in our hold file, during which time you may be contacted for other suitable vacancies. If you do not want us to do this, please call us to advise.

In the meantime, we would like to thank you for your interest in Cavendish Maine.