LEEDS
Job Summary:
We are seeking a highly organized and detail-oriented Compliance Officer / Office Manager to oversee regulatory compliance while ensuring smooth day-to-day operations within our financial services firm. This dual-role position requires a strong understanding of financial regulations, risk management, and office administration. The ideal candidate will ensure adherence to FCA (Financial Conduct Authority) rules, internal policies, and best practices while managing office efficiency, staff coordination, and operational workflows.
Key Responsibilities:
Compliance Duties:
Monitor and ensure adherence to FCA regulations, Consumer Duty, Treating Customers Fairly (TCF), and other compliance requirements.
Conduct file reviews, audits, and annual compliance checks to verify the suitability of financial advice and regulatory compliance.
Review and approve financial promotions, ensuring they are clear, fair, and not misleading.
Maintain and update compliance policies, procedures, and regulatory documentation in line with industry standards.
Assist in complaint handling, ensuring timely resolution in accordance with regulatory guidelines.
Provide compliance training to staff and promote a strong culture of compliance within the firm.
Stay updated on regulatory changes and implement necessary adjustments to policies and processes.
Office Management Duties:
Oversee day-to-day office operations, ensuring efficiency and smooth workflow.
Manage administrative staff, delegating tasks and supporting team productivity.
Handle office supplies, vendor contracts, and facility management.
Assist with HR functions, including onboarding, staff records, and compliance with employment laws.
Maintain data integrity, ensuring accurate record-keeping and secure document storage.
Support project coordination and ad-hoc tasks as required by senior management.
Qualifications & Experience:
Essential:
CII Level 4 Diploma in Regulated Financial Planning (or equivalent compliance qualification).
Proven experience in compliance within financial services (wealth management, IFA, or similar).
Strong knowledge of FCA rules, GDPR, AML, and financial promotions.
Excellent organizational, communication, and leadership skills.
Desirable:
CII Level 6 Advanced Diploma (or working towards it).
Previous office management or operations experience.
Familiarity with compliance software and CRM systems.
Personal Attributes:
Detail-oriented with strong analytical skills.
Proactive and solution-focused with the ability to manage multiple priorities.
Strong interpersonal skills, capable of liaising with regulators, staff, and senior management.
High ethical standards and a commitment to regulatory best practices.