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Job Specification

Exclusive: Compliance Executive – IFA/DFM Compliance Experience Required

£40K - £55K + Benefits | West End
Ref: 3661R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our Client, a niche IFA and discretionary fund manager, seeks a deputy to the Head of Compliance
to provide high quality compliance support within a small in-house team. In this interesting and varied role in a pleasant & well supported firm, duties include;

• Providing guidance to advisers, support staff and compliance administrator especially regarding complex compliance matters
• Help to design practical in-house training in relation to regulatory developments or industry/ compliance hot topics
• Providing support to MLRO in implementing effective systems and controls to counter money laundering or financial crime risks including new staff training and refresher training
• Conducting and providing feedback to advisers and support teams on new business and ongoing review file checks and ensuring any remedial action required is completed
• Maintaining accurate, up to date and detailed compliance records and registers
• Checking and maintaining records on financial promotions
• Liaising with independent Consultancy for any compliance queries which require external support or checks

You should have the Diploma in Regulated Financial Planning or equivalent relevant qualification (or be at an advanced stage whereby the qualification can be obtained in short time frame) and at least
three years  IFA/ DFM or regulated financial services compliance experience (professional qualification study cost and time both paid and encouraged). NB Pleasant offices a couple of minutes walk from Tottenham Court Road station 

For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at


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