Our client is a well-established and reputable IFA firm dedicated to delivering high-quality financial advice and exceptional client service. As part of their continued growth, they are seeking an experienced Compliance Adviser to join their team and help ensure our business continues to operate to the highest regulatory standards.

As a Compliance Adviser, you will play a key role in overseeing the firm’s adherence to FCA rules and internal policies.

Role & Responsibilities:

• Act as a point of contact for colleagues across the business, offering clear guidance on regulatory expectations and internal policy matters.
• Contribute to safeguarding the business from financial crime by carrying out controls and checks relating to fraud, money laundering, and bribery/ corruption risks.
• Produce, review, and maintain internal policies, procedures, and guidance materials to reflect regulatory obligations and organisational standards.
• Support the firm’s training and competence framework by coordinating learning activities, creating and delivering online training content, monitoring adviser progress toward competence, and managing tasks linked to annual certification requirements.
• Help increase regulatory awareness by preparing regular compliance communications, such as monthly updates, and by developing and delivering training sessions on new or evolving requirements.
• Support the regulatory policy function by tracking forthcoming regulatory developments, assisting with interpretation, and helping the business prepare for and implement changes.
• Oversee the financial promotions approval workflow, ensuring all materials meet regulatory standards before they are released.
• Work collaboratively on enhancement projects within the compliance and legal functions, including updating policy frameworks, improving training resources, and identifying ways to strengthen internal regulatory processes.

Do you have the following to apply?

• Previous experience in a compliance role within an IFA, wealth management, or financial services environment.
• Strong understanding of FCA regulations

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.