Compliance Officer

Compliance Officer/Training & CompetencyWealth Management FirmRemote Role - come to office once every 2 monthsc.£40k - £45k basic salary plus bonus

My client are a boutique wealth planning firm with offices across South East who I have met twice and placed 10 staff with over the past 3 years. They offer a raft of financial advice to HNW and UHNW retirees, accumulators, local families and SME owners. In their current setup they manage the affairs of c.500 clients with assets ranging from £200k - £1m and their UHNW proposition deals with clients with £1m - £10m+ of assets. The business offers advice on pensions, investments, tax planning, cashflow modelling, retirement planning, protections (both personal and business) and some esoteric schemes such as VCT & EIS schemes.

The business has a team of senior advisers and a full suite of admin and paraplanning support staff and they have very exciting expansion plans over the next 5 years. With significant financial backing they would like to double their adviser count both organically and via acquisition of businesses. Before they action their expansion plans, they need to recruit another member of staff into their compliance function before scaling the business. The Managing Director is creating a brand-new role for a Compliance Officer to report into the Compliance Manager to support with Training & Competency duties. The role will be fully remote and the role will be tailored around your skillset but will still also meet the needs of the business.

If this role sounds of interest or any other roles I am working on please get in touch - peter@financialdivisions.co.uk