This job is no longer available.
You can view related vacancies or set-up an email alert notification when similar jobs are added to the website using the buttons below.

Compliance Officer - Reg Tech - up to £35,000 - Home Based!

£27000 - £32000 per annum

FourthLine are currently representing our client, a Regulatory Technology provider, as they look to hire a home-based Compliance Manager into their in-house team. The Compliance advice is currently outsourced, and to support their exciting growth they are looking for someone to take ownership of constantly updating their policies and frameworks for clients.

The company provide a range of services to Wealth Managers, IFA's and Tier 2 Banking clients. Their objective is to help firms understand their unique market positioning in areas of people, regulation, systems, etc. by producing detailed reports to help firms understand their key priority areas for improvement.

As Compliance Manager, some of your responsibilities will include:

  • Designing, developing and delivering tailored compliance content to clients;
  • Managing the online compliance helpdesk;
  • Working with the board to ensure Compliance agenda remains up to date and relevant.

The ideal candidate will have some of the below criteria

  • Compliance experience within a wealth, IFA or consulting environment;
  • Background as a paraplanner, or financial advisor would be ideal but not essential;
  • Professional qualifications (CISI) or industry qualifications (Level 4 Diploma);
  • Excellent knowledge of FCA regulation as it applies to the Wealth Management sector especially;
  • Innovative and creative approach, must be solution orientated and hands on with technology.

Please note this role is 100% home based with some occasional travel to London.


Managing this Role


This job has now been filled but you may be interested in:


1st Line Assurance & Audit Manager

£65000 - £80000 per annum

FourthLine are currently recruiting on behalf of a client who is looking for a 1st Line Assurance & Audit Manager.
The role responsibilities include:

  • 1st line sampling across all business lines with testing and reviews of process controls, highlighting control weaknesses and/or non-adherence.
  • SLA and 3rd Party Monitoring.
  • Support for Audits and reviews of CASS /MIFID2 Transaction Reporting, REP 018 and other Regulatory reporting undertaken.

In order to qualify for the role requirements include:

  • At least 3 years' experience in a Middle Office/First Line Assurance Control Role.
  • Previous experience gained in an audit capacity advantageous.
  • Experience of CASS audits including Rules Mapping, Control assessments and general CASS support advantageous.

If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV.


£ k