Compliance Officer

Alexander Lloyd are seeking a detail-oriented and motivated Compliance Assistant to support the compliance framework within a regulated financial services environment. Working closely with the Compliance function, this role plays a key part in ensuring the firm meets its regulatory obligations under FCA rules, particularly in relation to advisory services and SIPP provision.

This is an excellent opportunity for someone with a strong interest in financial services regulation who is looking to develop their career in compliance.

Key Responsibilities

Compliance Monitoring & Reporting

• Support the development and delivery of compliance monitoring programmes across advisory and SIPP provider activities.
• Assist in the preparation and maintenance of regular compliance reports for senior management.

Regulatory Filings & Documentation

• Assist with the preparation and submission of FCA regulatory filings and returns, ensuring accuracy and timely delivery.

Regulatory Research

• Research FCA regulations and guidance relevant to advisory and SIPP services, ensuring the business remains aligned with current regulatory expectations.

Internal Compliance Audits

• Support internal compliance audits, identifying regulatory gaps and working with internal teams to help resolve findings.

Policies & Procedures

• Assist with reviewing and updating internal policies and procedures, including conduct of business, KYC, and AML requirements.

Training & Development

• Support the creation and delivery of compliance training materials, including regulatory updates and best practice guidance.

Record Keeping & Data Management

• Maintain accurate and well-organised compliance records to support audits and regulatory inspections.

Advisory Services Compliance

• Monitor advisory activity to ensure compliance with FCA requirements on suitability, advice processes, and client disclosures.

SIPP Compliance

• Assist with oversight of SIPP-related activities, including investment monitoring, pension transfers, and administration processes.

Regulatory & Audit Engagement

• Support preparation for regulatory visits and external audits, assisting with responses and documentation as required.

Key Requirements

Essential

• Good understanding of FCA regulations, particularly within financial advice and pensions.
• Experience in financial services, ideally within compliance, advisory, pensions, or wealth management.
• Familiarity with regulatory reporting and FCA documentation.
• Clear and confident written and verbal communication skills.
• Ability to work collaboratively while managing tasks independently.

Please quote 52102 when calling Aaron at Alexander Lloyd or email them at apu@alexanderlloyd.co.uk. This is only one of many vacancies we are handling, Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Employee Benefits, Compliance, Pensions, Group Risk, Paraplanners, Sales Support, T&C etc.

Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role.