Compliance Officer

An outstanding opportunity has arisen to join a highly respected boutique Independent Financial Adviser as their Compliance Officer, taking responsibility for the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions. This is a senior leadership role within a successful and growing wealth management business that advises high-net-worth individuals, entrepreneurs and families. The successful candidate will work closely with the Partners and senior management team to shape the firm''s compliance strategy, ensuring regulatory excellence whilst supporting continued commercial growth. This is far more than a traditional compliance role. You''ll play a key part in embedding a practical, business-focused compliance culture that supports advisers in delivering outstanding client outcomes while maintaining the highest standards of governance. Key responsibilities will include: Holding SMF16 and SMF17 responsibilities Preparing and presenting Consumer Duty and AML annual reports Designing and delivering a risk-based Compliance Monitoring Programme Conducting technical advice file reviews and providing constructive feedback Completing RMAR returns and maintaining regulatory reporting Managing complaints and overseeing Suspicious Activity Reports (SARs) Reviewing and approving higher-risk advice cases, including pension switches, EIS, VCTs and inheritance tax planning Developing and enhancing compliance policies, procedures and governance frameworks ..... full job details .....