Matt Carter

Compliance Monitoring Officer Overview  As a Compliance Monitoring Officer, you will be responsible for conducting second-line file reviews and thematic assessments of investment management activities. Key Responsibilities: Producing high-quality monitoring reports summarising findings, trends, and recommendations for remedial actionCollaborating with the Training & Competence (T&C) team to support training and awareness initiatives on suitability and regulatory expectations.Conducting detailed reviews of client files to assess the suitability and appropriateness of investment advice and portfolio recommendationsExperience & Qualifications:At least 3 years’ experience in compliance monitoring, audit, or quality assurance within investment management or wealth management.Level 4 Investment Advice Diploma (IAD) or equivalent (e.g., CISI, CII).Strong working knowledge of FCA rules, particularly around suitability

Compliance Advisory Associate Overview   As the Compliance Advisory Associate, you will be working with the wider Risk & Compliance team to help the business meet the requirements of the FCA and other relevant regulators. Key Responsibilities:Provide advice, training, and guidance to the business on regulatory mattersWorking on regulatory horizon scanning and anticipating upcoming regulatory changes.Support the review of Financial PromotionsAssist in determining the relevance and impact of regulatory change and provide practical support on the implementation of any necessary changes.Manage ad hoc regulatory queries from the business Experience & Qualifications:Previous experience in a similar Compliance role within Wealth & Investment Management.Detailed, and current, technical knowledge of the FCA Handbook (Consumer Duty, SYSC, COBS, SMCR)  and other relevant regimes.Strong attention to detail

Senior Compliance Policy Officer Overview   As the Senior Compliance Policy Officer, you will be key member of the Compliance team to help the business meet the requirements of the FCA and other relevant regulators. Playing a key role in the business-critical implementation of the key policies for the business. A senior source of knowledge and advice and play a vital role in ensuring that regulatory developments are anticipated, interpreted, and embedded into our business operations. Key Responsibilities:Providing regulatory advice to the business, acting as a subject matter expert on policy.Ownership of the firm’s compliance policy framework.Leading on regulatory horizon scanning and anticipating upcoming regulatory changes.Engaging proactively with internal and external stakeholders to support our culture of compliance.Experience & Qualifications:Previous experience in a similar role within Investment Management or Financial ServicesMinimum holder of CISI Level 3 Investment Operations CertificateWilling to complete CISI Level 6 Compliance Diploma, or equivalent Compliance qualificationDetailed, and current, technical knowledge of the FCA Handbook, MiFID II, MAR, SMCR, AML, and other relevant regimes.

Compliance File Checker Location: LeedsA leading, award-winning wealth management firm working with a significant proportion of the UK’s Financial Advisers. With a strong focus on innovation, technology, and an inclusive culture, the company is transforming the financial services industry. The Compliance File Checker will play a key role within the compliance team, ensuring all client cases reviewed meet FCA and internal standards. Responsibilities:Review client files to ensure compliance with FCA regulations and internal advice standards.Assess client suitability reports, documentation, and adviser assessments.Identify risks, discrepancies, or breaches and escalate appropriately.Maintain high accuracy in reviewing complex client files.Provide constructive feedback and guidance to advisers.Support compliance training and respond to internal queries.Report trends or potential issues to the Compliance Manager.Requirements:Qualification: Minimum Level 4 (e.g., Diploma in Regulated Financial Planning or equivalent).Experience: Previous compliance or file-checking experience in an FCA-regulated environment.Knowledge: Strong understanding of FCA regulations, advice suitability, and financial products (pensions, investments, insurance).

Overview  A File Reviewer opportunity has arisen to join an established team working as part of the wider Compliance Function. Responsibilities Part of a dynamic compliance team reviewing cases submitted by financial advisersAssisting answering enquires from advisers by email and telephoneSkills and ExperienceIdeally Level 4 Diploma qualifiedStrong written and verbal communication skillsExperience with a variety of products, Pensions, Investments & Mortgages.Experience of working in a compliance, file checking, or paraplanning position

Head of Compliance Overview   Seeking an experienced compliance professional to lead and manage day-to-day compliance. As the Head of Compliance you will take the lead on compliance standards and improve and monitor regulatory controls and ensure compliance maintains a high-quality client outcomes.  Key Responsibilities:Develop and maintain regulatory compliance policies and procedures, to ensure the highest standards in line with investment management regulatory obligations and expectations, including but not limited to the requirements of MiFID, SMCR, CASS and Consumer Duty.Provide 2nd line challenge and oversight to Investment teams, including performing pre- and post-trade surveillance.Provide compliance advice and guidance to the business on regulatory requirements and impact of these requirements, as well as regulatory change to ensure they are understood and consistently embeddedReview and challenge best execution and transaction reportingEnsure appropriate systems and controls are in place to achieve the company’s strategic goals and protect its clients Experience & Qualifications:Previous experience of working in a Senior Compliance role within the Investment/Asset Management sector, including discretionary investment management and investment funds.Excellent understanding and knowledge of all relevant regulatory rules, in particular, MIFID, COLL, PROD and Consumer Duty rules.Experience of leading and managing teamsInvestment Management Compliance qualification preferred

Head of Compliance Overview   Seeking an experienced compliance professional to lead and manage day-to-day compliance. As the Head of Compliance you will take the lead on compliance standards and improve and monitor regulatory controls and ensure compliance maintains a high-quality client outcomes.  Key Responsibilities:Develop and maintain regulatory compliance policies and procedures, to ensure the highest standards in line with investment management regulatory obligations and expectations, including but not limited to the requirements of MiFID, SMCR, CASS and Consumer Duty.Provide 2nd line challenge and oversight to Investment teams, including performing pre- and post-trade surveillance.Provide compliance advice and guidance to the business on regulatory requirements and impact of these requirements, as well as regulatory change to ensure they are understood and consistently embeddedReview and challenge best execution and transaction reportingEnsure appropriate systems and controls are in place to achieve the company’s strategic goals and protect its clients Experience & Qualifications:Previous experience of working in a Senior Compliance role within the Investment/Asset Management sector, including discretionary investment management and investment funds.Excellent understanding and knowledge of all relevant regulatory rules, in particular, MIFID, COLL, PROD and Consumer Duty rules.Experience of leading and managing teamsInvestment Management Compliance qualification preferred

Overview  A File Reviewer opportunity has arisen to join an established team working as part of the wider Compliance Function. Responsibilities Part of a dynamic compliance team reviewing cases submitted by financial advisersAssisting answering enquires from advisers by email and telephoneSkills and ExperienceLevel 4 Diploma qualifiedStrong written and verbal communication skillsExperience with a variety of products, Pensions, Investments & Mortgages.Experience of working in a compliance, file checking, or paraplanning position