Compliance Officer - Up to £55k basic salary - Financial Planning Business - Dorking/Reigate

My client are a boutique wealth planning firm near Dorking/Reigate who I have met and placed staff with. They offer a raft of financial advice to HNW retirees, accumulators, local families and SME owners based across London & Southeast. In their current setup they manage the affairs of c.300 clients with assets ranging from £100k - £5m. 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 expansion plans which it plans to roll out over the next few years and they want to ensure they have a solid admin, paraplanning and compliance function before scaling the business further.

The Managing Director is creating a brand-new role for a Compliance Officer to take a leading role in managing the compliance function and some operational tasks ensuring the business is compliant with all new and upcoming FCA changes including Consumer Duty. The Directors are open minded as to how this would look and they are open to discussions surrounding duties for the role. You will be the first point of contact dealing with all FCA queries, assessing, monitoring, and mitigating compliance risks, conducting audits, and implementing compliance programs.

Salary: £45k - £55k
Benefits: pension, death in service cover, income protection,
25 days holiday + bank holidays

If this role sounds of interest or any other roles I am working on please get in touch.