Compliance Contract - Financial Planning

9 month Compliance contract Fixed Term Contract London To be considered for this role you need Financial Planning / Wealth Management experience. The Role Reporting directly to the CEO , you will play a key role in maintaining and enhancing the firm’s compliance framework during a maternity cover contract. You will run the Compliance framework and undertake a Compliance audit in the summer of 2025. You will also have ownership of regulatory returns, other key responsibilities include: Managing the compliance framework to ensure regulatory adherence and best practice. Oversight of file reviews (working alongside an outsourced partner). Leading a compliance audit scheduled for Q3, ensuring all regulatory requirements are met. Acting as a key compliance advisor to the leadership team. Providing compliance guidance and support across the business. To be successful in this role, you must have: Financial planning/IFA compliance experience – a strong understanding of the regulatory landscape. Level 4 Diploma in Financial Planning (or working towards it) – highly desirable. Experience in managing compliance frameworks and audits. The ability to work independently and advise senior stakeholders.

Location: The City, GB

Posted Date: 5/3/2025