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About the Role
We are seeking a motivated and detail-oriented Compliance Officer for a 12-month fixed-term contract. This role is ideal for individuals with experience in wealth management, investment management, private banking, or financial services looking to advance their careers in a highly regulated sector. The successful candidate will support the firm's compliance and anti-money laundering (AML) framework, ensuring business and client protection through monitoring, oversight, and regulatory controls. You will collaborate with colleagues, offer guidance on compliance matters, and enhance risk management processes.
Responsibilities
- Conduct compliance and risk monitoring activities, including reviewing system reports and alerts for AML, trading activity, cash positions, and large stock holdings.
- Review and investigate Data Loss Prevention (DLP) alerts, escalating concerns and supporting adherence to firm policies.
- Assess and scrutinize complex new account applications referred by the Client Onboarding team.
- Review and approve static data amendments for complex client accounts.
- Support colleagues with compliance and anti-money laundering queries, escalating complex or higher-risk matters.
- Provide administration and oversight of the firm's online compliance training system.
- Assist with new SEDOL set-up requests.
- Respond to Section 793 requests.
- Support the firm's AML framework and wider compliance programme.
- Produce ad hoc reports and assist with departmental projects.
- Provide general support across the Compliance team.
Requirements
- Experience within Financial Services, preferably in Wealth Management, Investment Management, Private Banking, or a similar environment.
- A good understanding of the UK regulatory landscape and FCA Handbook.
- Knowledge of investment products and wealth management services.
- Exposure to anti-money laundering regulations and compliance practices.
- Previous complaints handling experience is advantageous.
- An investment, compliance, or financial planning qualification, or a willingness to undertake relevant professional development.
- Professional qualifications such as the CISI Diploma in Investment Compliance are highly desirable.
- Relevant wealth management experience for candidates keen to build a career in compliance.
Skills
- Strong Microsoft Office skills.
- Experience with compliance and monitoring systems (e.g., LexisNexis Bridger, IDU AML, LiquidMetrix Surveillance).
- Good knowledge of the Wealth Management industry.
- Understanding of AML legislation, regulation, and best practice.
- Knowledge of FCA rules and the broader UK regulatory environment.
- Excellent written and verbal communication skills.
- Strong attention to detail and analytical capability.
- Effective organisational and time management skills.
- Strong interpersonal skills and ability to build relationships.
- Problem-solving mindset and willingness to take ownership.
- Ability to work independently while contributing positively as part of a team.
Work Type
- 12-month fixed term contract
About the Company
- This role offers the opportunity to develop your career within a collaborative and professional environment, gaining broad exposure to compliance, AML, regulatory oversight, and wealth management operations.
- You will work alongside experienced professionals and play an important role in helping the firm maintain the highest standards of client protection and regulatory compliance.
- If you are looking for a challenging and rewarding compliance role within a respected wealth management environment, we'd love to hear from you.