Average Compliance Officer salary in the UK

Our client is looking for a Compliance Officer to review cases completed by their Financial Advice team.This role will suit someone who has level 4 qualification or is already a file checker and is passionate about helping individuals achieve their financial goals. Full training will be provided.Role Responsibilities: Ensure client files are in compliance with regulatory standards and internal policiesFiles submitted and checked via in house back office systemAssistance with answering enquiries from advisers by email and telephonePart of a dynamic team reviewing cases Skills: Strong communication skills, both verbal and writtenLevel 4 qualification in Financial Advice required (partial completion of appropriate qualifications will also be considered)Previous experience in a similar role would be beneficial, although full training provided Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

My client is based in Manchester and they are looking for a Compliance Monitoring Officer to join their team. The business operates a hybrid working model and is paying a salary c£40k to £45k.The main purpose of the role is to provide a file review service to the clients of the business. The file reviews will mainly be for medium to large IFA firms.Duties Deliver a client file review service in line with Service Level AgreementsRespond to client queries in a timely, clear and concise manner, setting customer expectations in respect of timescales anticipated, and recording information in line with business standardsProvide oral feedback to clients in respect of client file reviews as requiredTo report to the Head of Compliance any specific issues or concerns regarding any client firms which might realistically affect their ability to trade, or affect their, or the company's ability to fulfil its commercial and contractual obligations to one anotherMaintain a CPD record in line with FCA requirements for regulated individualsGenerate reports and summaries of thematic reviews/file assessments as requested by the Head of ComplianceUndertaking specific projects - e.g. review of SMCR arrangements, T&C scheme, Investment proposition, relationships with third parties etc. and providing written feedback and guidance Suitable candidate will have: A QCF Level 4 Diploma qualificationExperience in a compliance/technical area of a support service, network or IFA businessDetailed knowledge of regulatory framework required to carry out client file reviewExperience of providing feedback to IFAs in relation to client file quality or T&C issuesGood communication skills verbal and written formats - for internal and external clientsAttention to detail is a must What they offer in return: Hybrid workingA competitive salary27 days holiday (plus bank holidays)8% employer pension contribution, plus the ability to elect to make a personal contribution via salary sacrificeAVIVA Private Health CareDeath in Service benefit (4 times annual salary)Income Protection InsuranceFree parkingA friendly, supportive and accommodating working environment For more information please contact me on or email: Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

We are currently looking for an experienced, hands-on, and energetic Director of Compliance to join our FinTech clients London Office! The ideal candidate will be responsible for leading the compliance function of their UK operations, including conducting reviews to evaluate the firm’s compliance with applicable laws and regulations and ensuring that control gaps are adequately escalated and mitigated through remedial actions. In addition, the candidate will be responsible for establishing best practices for our global operations. This role will give you the opportunity to: Build the compliance operations, including the selection of relevant vendors and creation of appropriate policies and processes;Conduct reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements;Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations;Determine the root cause of issues and develop effective remediation plans to mitigate the risks;Drive implementation of local regulatory change/remediation projects and initiatives. A bit about you: 7+ years of industry experience within institutional broker-dealer activities;Previous experience with a broker is required;Previous experience of being an SMF16 officer (Compliance oversight) and SMF17 officer is a big plus (MLRO);Previous experience within the securities financing industry is a plus;Strong analytical, writing, and presentation skills;Highly motivated, proactive individual who has demonstrated the ability to take initiative, identify issues, propose solutions, and implement change;Strong attention to detail, balanced with a strong focus on execution and results;Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting;Excellent communication skills.