Role at a glance
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Compliance
A Compliance role overseeing and managing compliance processes for a UK financial advice firm, with bases in St Ives (Cambridgeshire), Westerham and Norwich, or as a homeworker.
About this role
IFA Talent is recruiting for a Compliance role with a growing UK financial advice firm. The firm is not named on this page. You will oversee and manage compliance processes, including monitoring adherence to legal and regulatory requirements, putting internal policies and procedures in place, carrying out audits, and providing training on compliance matters.
The description looks for a strong understanding of the regulatory landscape for financial services, excellent attention to detail, and a proactive approach to identifying and addressing possible compliance risks.
The role can be based in St Ives (Cambridgeshire), Westerham and Norwich, or as a homeworker. It is not a fully remote-only vacancy.
Key responsibilities
- Stay up to date with applicable laws and financial regulations, including anti-money laundering (AML), know your customer (KYC) requirements and MiFID II, and other rules that apply to the firm.
- Develop, implement and review internal compliance policies and procedures so they stay aligned with current regulations and good practice in financial services.
- Carry out regular risk assessments to identify possible areas of non-compliance, put in place ways to reduce those risks, and help to create a comprehensive risk management strategy.
- Monitor and track compliance with policies, procedures and regulations, and carry out periodic audits of operations against legal standards and internal controls.
- Provide training and support to colleagues on compliance matters where requested, and help to foster a culture of compliance.
- Investigate possible compliance violations, recommend corrective action where needed, and work with legal and management teams to address issues.
- Track and assess new or changing financial regulations so the firm remains compliant as rules and industry practice evolve.
- When non-compliance is identified, work with the relevant teams to investigate, report and resolve the issue, and help to develop corrective actions that reduce the chance of it happening again.
Who it may suit
Formal qualifications are not listed as a requirement. The role asks for the following experience, skills and personal attributes.
Experience and skills
- An understanding of the financial services industry and regulatory environment.
- The ability to assess complex regulatory requirements, identify compliance risks and develop appropriate ways to reduce them.
- Strong written and verbal communication skills, with the ability to explain complex regulations clearly to non-experts.
- Excellent attention to detail, with the ability to spot discrepancies or areas of non-compliance in documents, processes or transactions.
- The ability to analyse situations, identify compliance issues, and offer effective solutions that meet legal and regulatory standards.
Personal attributes
- Strong ethical standards and a commitment to maintaining confidentiality.
- The ability to work independently and collaboratively with colleagues in other teams.
- A high level of integrity and professionalism.
- Strong organisational and time-management skills, with the ability to handle several projects and deadlines.
How to apply, and what happens next
IFA Talent is recruiting for this role. Apply through our contact form with a short voice note (up to three minutes), a CV, a typed message, or a mix of these. You do not have to rewrite a CV if a voice note or a short message is easier.
We will review what you send and reply to arrange a time to talk, checking your details with you. Every conversation is confidential. We will always confirm with you that it is okay before your details are shared with any firm. You can also read our privacy notice.
Questions candidates often ask
Where is the role based?
The role can be based in St Ives (Cambridgeshire), Westerham and Norwich, or as a homeworker. It is not a fully remote-only vacancy.
Do I need a named compliance qualification?
Formal qualifications are not listed as a requirement. The role asks for an understanding of the financial services regulatory environment, strong analysis, communication and attention to detail, and a high standard of ethics and confidentiality.
Who is the employer?
This role is with a growing UK financial advice firm. The firm is not named on this page. IFA Talent is recruiting for the role, and we will only share your details with the firm once you have told us that it is okay.
How do I apply, and what happens next?
Use the contact form to send a voice note, a CV or a short message, or a mix of these. We review what you send, reply to arrange a time to talk, and check your details with you. Your details are not shared with any firm until you have said that it is okay.