Matt Carter

Compliance SpecialistLeeds (Hybrid/Office-Based)A well-established financial services organisation is seeking a Compliance Specialist to provide risk-based second line of defence (2LoD) monitoring and compliance support. 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. Responsibilities: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.Provide 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. Experience & Qualifications:Level 4 DipFA Qualified or working towardsExperience: Proven experience in a 2LoD compliance monitoring role within the financial services sector.Knowledge: Strong understanding of FCA regulations, conduct risk, and relevant handbooks (e.g., COBS, SYSC, T&C); awareness of data protection and financial crime frameworks.up to date knowledge of the regulatory landscape and emerging industry risks

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).

Compliance Officer    Overview   An exciting opportunity has arisen to join a well-established Financial Services company in a Compliance Officer position Some Key Responsibilities:Provide risk based 2LoD compliance monitoring in accordance with the Compliance PlanUse knowledge and experience of the regulatory landscape and consumer duty expectations and requirements to provide appropriate challenge and support to the business.Develop and maintain effective working relationships with first line operational management and key stakeholdersWork with the rest of the Risk & Compliance team to effectively manage and deliver FCA regulatory visits, requests and thematic reviews to a high standard, enhancing our relationship with the regulator.Experience & Qualifications:Level 4 DipFA Qualified or working towardsPrevious experience of working in a Compliance role, ideally within Wealth & InvestmentsUp to date knowledge of relevant FCA Handbooks e.g. COBS, T&C, SYSC, ICOB, MCOBup to date knowledge of the regulatory landscape and emerging industry risks

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

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

Compliance Monitoring Manager   Overview   An exciting opportunity has arisen to join a well-established Financial Services company where you will lead, manage and shape the Compliance Monitoring function and team. Some Key Responsibilities:Lead on the development and implementation of a risk-based Compliance and Central monitoring planOversee the execution and timely delivery of thematic reviews and regular testing, including complex thematic reviewsPrepare detailed compliance reports for senior management and the board, highlighting key findings, risks, and remediation actions Experience & Qualifications: CISI or CII level 4 qualificationsPrevious experience of managing people and teamsPrevious experience of working in a similar Compliance Monitoring position for 5+ years

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