Matt Carter

Compliance OfficerA well-established financial services organisation is seeking to hire an experienced Compliance Professional (2LoD). This role ensures that business activities are carried out within the regulatory framework while embedding Consumer Duty principles and maintaining a strong culture of compliance and customer focus.ResponsibilitiesProvide compliance advice and consultancy to business areas, promoting good conduct and customer outcomes.Support regulatory interactions, including visits, thematic reviews, and information requests.Prepare high-quality reports and present findings to senior management, recommending control improvements.Support the development and implementation of the Compliance Plan through risk-based monitoring and assurance activities.Conduct compliance audits and risk assessments to evaluate internal controls and identify emerging risks. Experience & Qualifications:Level 4 DipFA Qualified or working towardsExperience: Proven experience in a 2LoD compliance role within the financial services sector. - Happy to consider people moving from 1st line into 2nd lineKnowledge: Strong understanding of FCA regulations, conduct risk, and relevant handbooks (e.g., COBS, SYSC, T&C)up to date knowledge of the regulatory landscape and emerging industry risks

Reconciliations, Banking & Corporate Actions Manager Responsibility for the Recs, Banking and Corporate Action teams Some team responsibilities Daily internal and external client money reconciliations & investigationInternal and external custody reconciliation & investigationRegulatory returns & claimsManage the teams to achieve effective workflows, contributing towards an efficient execution of responsibilitiesWork with the departmental management teams to maintain a collaborative approach in achieving the departmental service level agreements (SLAs) and key performance indicators (KPIs)Responsible for Team Leader development through structured one-to-one sessions, appraisals and individual training and development plans Experience & Qualifications:Strong interpersonal and communication skillsCASS knowledge, in particular CASS 6 and 7Excellent attention to detailInvestment Management Certificate (IMC), Investment Operations Certificate (IOC) or equivalent industry recognised qualificationFinancial services experienceUnderstanding of investments and investment products

Job Description Purpose of the Role: Working in close collaboration with senior compliance leadership and stakeholders across the organisation, this role supports the enhancement and ongoing development of the financial crime compliance framework. The position focuses on maintaining and monitoring key risk controls and ensuring effective oversight of financial crime risks. Key Responsibilities:Act as a member of the Financial Crime function, supporting senior accountability holders in delivering the financial crime compliance framework, including monitoring activities, risk assessments, and the preparation of management information and reporting.Contribute to and carry out activities within the Financial Crime Compliance Monitoring Programme.Provide clear and proactive guidance to business areas on financial crime matters.Support and participate in financial crime-related projects as required.Assist in the development and oversight of the organisation’s financial crime training programme.Conduct horizon scanning to identify relevant regulatory, legal, and industry developments, and communicate key updates with recommendations.Maintain internal logs relating to financial crime incidents, ensuring accurate recording and appropriate follow-up.Support investigations into suspicious activity where required.Assist in preparing reports for senior stakeholders and external authorities.Contribute to the upkeep of enterprise-wide risk assessments, as well as policies and procedures, ensuring alignment with regulatory expectations and internal changes.Support the completion of anti-money laundering due diligence requests from third parties.Review market abuse alerts generated by surveillance systems.Produce regular financial crime management information.Provide administrative and organisational support for team meetings.Education & Experience:Degree-level education or relevant professional qualifications.Good working knowledge of legislation and guidance relating to anti-money laundering, market abuse, fraud, and anti-bribery and corruption.Understanding of regulatory expectations and industry standards within financial services.Awareness of sanctions regimes and politically exposed persons (PEP) requirements.Familiarity with UK legal frameworks relating to financial crime is advantageous.Skills & Competencies:Strong communication skills with the ability to engage effectively with a range of stakeholders.High attention to detail and ability to work within structured processes.Analytical mindset with a proactive approach to identifying and resolving issues.Strong organisational skills with the ability to manage competing priorities.Proficiency in standard office software, including advanced spreadsheet skills.Additional Information:Location: London (hybrid working arrangement)Department: ComplianceEmployment Type: Full-timeExperience Level: Mid-level / Experienced

Looking to take the next step in your compliance career and gain exposure across multiple areas of a growing financial services business? If you’re someone who enjoys variety, ownership, and making a tangible impact—this could be the role for you. Responsibilities include:Supporting compliance processes, controls and internal reportingHandling customer complaints and driving fair outcomesManaging adviser onboarding and certification requirementsMaintaining compliance registers and recordsInvestigating financial crime alerts and supporting escalationsReviewing financial promotions with internal teamsAssisting with regulatory reporting and data protection tasks Requirements:Experience in compliance, risk or financial crime within financial servicesUnderstanding of regulatory frameworks and customer outcomesExposure to AML, complaints, adviser oversight and reviewing financial promotionsStrong attention to detail and stakeholder communication skillsDiploma Level 4 (or working towards) If you’re ready to grow your compliance career and gain exposure across a wide range of responsibilities, apply now or reach out for a confidential chat.

Role Overview To support the effective operation of the Group’s compliance framework. The role ensures adherence to FCA regulations, GDPR, internal policies, and wider regulatory obligations by conducting monitoring activities, undertaking audits, managing documentation, and contributing to a culture of regulatory excellence. Some Key Responsibilities:Support the implementation of an appropriate monitoring regime across all group entities to ensure compliance standards are maintained and timely remedial actions are taken where necessary.Support the approval of financial promotions across the group to meet regulatory and internal business standards prior to approval, maintaining consistency in interpretation and application.Stay informed of changes in the regulatory landscape and assist the team to assess potential impacts on the group's operations, working proactively with senior colleagues to develop plans that ensure continued complianceSupport the timely and accurate submission of regulatory information and notifications to the FCA, and the completion of relevant group-level regulatory returns. Experience & Qualifications:Experience in a similar Compliance positionPrevious experience in a similar role within the Wealth & Investment Management/ Financial Planning SectorCII level 4 Diploma in Financial Services and/or relevant compliance qualification or happy to work towards

Role Overview To support the effective operation of the Group’s compliance framework. The role ensures adherence to FCA regulations, GDPR, internal policies, and wider regulatory obligations by conducting monitoring activities, undertaking audits, managing documentation, and contributing to a culture of regulatory excellence. Some Key Responsibilities:Support the implementation of an appropriate monitoring regime across all group entities to ensure compliance standards are maintained and timely remedial actions are taken where necessary.Support the approval of financial promotions across the group to meet regulatory and internal business standards prior to approval, maintaining consistency in interpretation and application.Stay informed of changes in the regulatory landscape and assist the team to assess potential impacts on the group's operations, working proactively with senior colleagues to develop plans that ensure continued complianceSupport the timely and accurate submission of regulatory information and notifications to the FCA, and the completion of relevant group-level regulatory returns. Experience & Qualifications:Experience in a similar Compliance positionPrevious experience in a similar role within the Wealth & Investment Management/ Financial Planning SectorCII level 4 Diploma in Financial Services and/or relevant compliance qualification or happy to work towards