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.

Compliance Officer -Law Firm Robert Half is assisting a Top Law firm based in London to recruit a Compliance Officer paying £60 000 - £65 000 (DOE). The successful candidate will provide support in the completion of Business Acceptance tasks, predominantly focusing on conflict searches and new business intake/matter openings. ****NB - Proven relevant experience in an established compliance team within a law firm or other regulated industry. Responsibilities: Analysing conflict search results utilising Intapp Open software, identifying potential regulatory and/or commercial conflicts and facilitating the resolution of these.Managing incoming requests for new client and new matter openings and assessing any conflicts- or AML-related risks.Researching new clients for CDD purposes and assisting fee-earners in obtaining the information and documentation required for this purpose.Implementing and maintaining information barriers.Conducting sanctions screening.Working closely with other business support functions, including IT and Accounts.Assisting with the testing of software upgrades linked to the Business Acceptance team, such as the upgrade of Intapp Open. Skills: A strong understanding of Anti-Money Laundering legislation and conflicts rules applicable in all jurisdictions in which the firm operates.Proven experience and confidence in making decisions regarding conflicts and AML issues, and explaining those decisions to senior stakeholders within the business.Strong research skills and familiarity with widely used data providers such as Bureau van Dijk/Orbis, Companies House and Accuity.Excellent communication skills and the ability to work as part of a team.Ability to work under pressure and prioritise effectively.A desire to build on existing knowledge and adapt to changes in processes and procedures quickly.Undergraduate degree is required, law degree is preferred.Experience of using Intapp Open software is required. Salary + Benefits + bonus schemeFlexible working Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Rates of pay and salary ranges are dependent upon your experience, qualifications and training. If you wish to apply, please read our Privacy Notice describing how we may process, disclose and store your personal data: gb/en/privacy-notice Security alert: scammers are currently targeting jobseekers. Robert Half do not ask candidates for a fee or request candidates to send applications through instant messaging services such as WhatsApp or Telegram. Learn how to protect yourself by visiting our website: gb/en/how-spot-recruitment-scams-and-protect-yourself

A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team. Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company. A highly competitive package is on offer with a comprehensive benefits package. Negotiable. Happy to discuss upon application; based on level of seniority and experience Compliance Officer: Support the Compliance Director to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, scanning, etc.Complete thorough file checks of advice cases to ensure adherence to both internal standards and regulatory requirements, providing constructive feedback relating to areas of improvement.Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolutions.Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.Keep abreast of, interpret, and communicate changes in FCA regulations to relevant departments, ensuring that all policies and procedures are updated accordingly.Conduct compliance training sessions for employees to ensure company-wide awareness and understanding of compliance policies and regulatory requirements.Manage and report on the handling of complaints in accordance with FCA guidelines, ensuring effective resolutions.Support the Compliance Director in their capacity as the main point of contact with the FCA and other regulatory bodies, managing all communications and reporting requirements.Act as liaison and maintain effective relationships with external third-party compliance support services.Foster a compliance culture within the organisation and contribute to strategic planning from a regulatory perspective. The successful Compliance Officer will have: Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification, or working towards this.Proven experience as a Compliance Officer or similar role within an FCA regulated financial advice business.Thorough understanding of FCA regulatory frameworks and compliance requirements.