Compliance Officer

A leading Wealth Management business is seeking a highly experienced Compliance Officer to join their governance structure. This role plays a critical function in ensuring regulatory adherence, mitigating risk, and embedding a strong culture of compliance across the business.

The successful candidate will work closely with Wealth Managers, Administrators, and Paraplanners, proactively identifying compliance risks while ensuring alignment with all relevant legislation and industry standards.

Key Responsibilities

Compliance & Risk Management

• Conduct risk assessments and proactively identify and mitigate compliance risks
• Execute Line 1 and Line 2 compliance monitoring activities, including control checks, CDD/EDD reviews, and reporting
• Design and implement action plans to address compliance gaps
• Oversee the full fit-and-proper lifecycle for representatives

Policies & Governance