Compliance Officer

Compliance Officer (Part-Time)

Remote

Up to £50,000 FTE

Flexible Hours: 25–30 hours per week

NJR Recruitment is currently working with a growing wealth management firm seeking an experienced Compliance Officer to join their team on a remote part-time basis.

This is a fantastic opportunity for a compliance professional with previous experience within a financial planning or wealth management environment who is looking for flexibility around working hours. The business is open to different working patterns, including:

• 3 full working days


• 5 shorter working days


• Other flexible arrangements to suit the successful candidate

The Role

Working closely with advisers and senior stakeholders, you will support the ongoing delivery of the firm’s compliance and regulatory framework, ensuring high standards are maintained across the business.

Duties will include:

• Delivering compliance monitoring activities


• Conducting file reviews and audits


• Maintaining compliance and regulatory registers


• Monitoring adviser CPD and SPS requirements


• Supporting Consumer Duty and governance reporting


• Managing breaches and complaints oversight


• Assisting with regulatory updates and policy changes


• Liaising with advisers, providers, and senior management

About You

To be considered for this opportunity, you should have:

• Previous experience in a similar compliance role within wealth management or financial planning


• Strong understanding of FCA regulations and adviser standards


• Experience carrying out file reviews and compliance monitoring


• Excellent attention to detail and organisational skills


• Strong communication and reporting abilities


• The ability to work independently and manage priorities effectively

Qualifications

• Level 4 Diploma qualified preferred


• Relevant compliance qualifications advantageous


• AF6 or equivalent desirable but not essential

What’s on Offer

• Flexible working hours and patterns


• Competitive salary package (pro rata)


• Pension and benefits package


• Ongoing professional development opportunities


• Opportunity to join a growing and forward-thinking business

For more information or to apply confidentially, please contact NJR Recruitment today quoting NJR16756

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