Compliance Officer

Our client, a wealth management and investment advisory firm that manages portfolios and financial planning for private and institutional clients, is looking for a Compliance Officer to grow their team. The successful candidate will be supporting client on-boarding, AML monitoring, and reporting to the Head of Compliance/MLRO within a small, collaborative team.

The Role:

• Manage client on-boarding queries, review exception requests, and document decision rationale
• Perform daily compliance monitoring reviews and control tasks
• Develop and execute the AML Compliance Framework and Monitoring Plan, reporting findings to the MLRO
• Review and approve/reject marketing submissions and ensure branch policies align with laws and regulations
• Assist with Financial Crime and Business-Wide Risk Assessments
• Advise the business on regulatory compliance, controls effectiveness, and implications of new programmes
• Monitor and interpret regulatory changes, perform gap analyses, and maintain business awareness
• Promote compliance culture through tailored staff training and development
• Stay informed on regulatory guidance and industry developments, keeping senior management updated
• Support the Head of Compliance with governance reporting

• Minimum 5 years of experience in a Compliance role within a regulated firm
• Experience leading or assisting to lead an AML Compliance Programme
• Degree educated

• Experience educating first line departments on regulatory matters and how to handle challenges from individuals in the business
• Fluent in English, any other European language as well as any relevant experience in the Insurance industry

• CAMS qualification preferable but not essential