Hold the Level 4 Diploma in Financial Planning Knowledge of FCA regulations and Consumer Duty requirements Compliance within wealth management Fram are working with an independent Wealth Management firm based in Southwest Devon.
Due to continued growth, they are looking for a Compliance Support Officer, to work with the Wealth Management Director who hold the SMF16/17 responsibilities to ensure regulatory excellence.
You'll develop, implement, and oversee compliance policies and procedures, manage risk assessments, policy reviews, and process improvements to keep our firm aligned with FCA regulations.
An opportunity to play a critical role in maintaining our high compliance standards, work collaboratively with senior management, and contribute to a culture of accountability and excellence in wealth management compliance.
You will also deal with file reviews maintaining T&C scheme and process improvements.
Key Responsibilities cover : Regulatory Compliance & Consumer Duty : Review and improve policies, serve as "Consumer Duty Champion," and advocate for consumer-focused decisions, particularly around price, value, and customer support.
Compliance Monitoring & Reporting : Oversee the Compliance Monitoring Plan, submit regulatory reports, and ensure our operations are transparent and compliant.
Conduct Risk & Conflict Management : Identify and manage conduct risks, conflicts of interest, and maintain the Gifts and Entertainment register.
Training & Regulatory Change : Foster a culture of compliance through training and stay current with regulatory developments via third-party events and resources.
Investment & AML Oversight : Collaborate on investment strategy, lead anti-money laundering efforts, and ensure robust Know Your Client (KYC) practices.
An ideal candidate will have 3+ years in compliance within wealth management.
Hold the Level 4 Diploma in Financial Planning with strong knowledge of FCA regulations and Consumer Duty requirements.
Have Exceptional communication, organizational skills, and a proactive approach.
This is an opportunity to play a critical role in maintaining the firms high compliance standards, work collaboratively with senior management, and contribute to a culture of accountability and excellence in wealth management compliance