Charles Stanley
Compliance Officer (FTC)
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About the Role
We are looking for a motivated and detail-oriented Compliance Officer to join our Compliance team on a 12-month fixed term contract.
This is an excellent opportunity for someone with experience in wealth management, investment management, private banking, or financial services who is looking to develop their career within a highly regulated environment.
The successful candidate will play a key role in supporting the firm's compliance and anti-money laundering (AML) framework, helping to safeguard the business and our clients through monitoring, oversight, and regulatory controls. You will work closely with colleagues across the business, providing guidance on compliance matters and contributing to the continuous enhancement of our risk management processes.
Key Responsibilities
- Conduct a wide range of compliance and risk monitoring activities, including reviewing system reports and alerts relating to AML, trading activity, cash positions, and large stock holdings.
- Review and investigate Data Loss Prevention (DLP) alerts, escalating concerns where appropriate and supporting adherence to firm policies.
- Assess and scrutinise complex new account applications referred by the Client Onboarding team.
- Review and approve static data amendments for complex client accounts.
- Support colleagues with compliance and anti-money laundering queries, escalating complex or higher-risk matters as required.
- Provide administration and oversight of the firm's online compliance training system.
- Assist with new SEDOL set-up requests.
- Respond to Section 793 requests.
- Support the firm's AML framework and wider compliance programme.
- Produce ad hoc reports and assist with departmental projects.
- Provide general support across the Compliance team as required.
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About You
We're looking for an individual who is detail-oriented, organised, and eager to develop their expertise within compliance and financial services.
Experience & Qualifications
You will ideally have:
- Experience within Financial Services, preferably in Wealth Management, Investment Management, Private Banking, or a similar environment.
- A good understanding of the UK regulatory landscape and FCA Handbook.
- Knowledge of investment products and wealth management services.
- Exposure to anti-money laundering regulations and compliance practices.
- Previous complaints handling experience would be advantageous.
- An investment, compliance, or financial planning qualification, or a willingness to undertake relevant professional development.
- Professional qualifications such as the CISI Diploma in Investment Compliance would be highly desirable.
We also welcome applications from candidates with relevant wealth management experience who are keen to build a career in compliance.
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Knowledge & Skills
Successful candidates will demonstrate:
- Strong Microsoft Office skills.
- Experience with compliance and monitoring systems such as LexisNexis Bridger, IDU AML, LiquidMetrix Surveillance, or similar platforms.
- Good knowledge of the Wealth Management industry.
- Understanding of AML legislation, regulation, and best practice.
- Knowledge of FCA rules and the broader UK regulatory environment.
- Excellent written and verbal communication skills.
- Strong attention to detail and analytical capability.
- Effective organisational and time management skills.
- Strong interpersonal skills and the ability to build relationships across the business.
- A problem-solving mindset and willingness to take ownership.
- The ability to work independently while contributing positively as part of a team.
Why Join Us?
This role offers the opportunity to develop your career within a collaborative and professional environment, gaining broad exposure to compliance, AML, regulatory oversight, and wealth management operations. You will work alongside experienced professionals and play an important role in helping the firm maintain the highest standards of client protection and regulatory compliance.
If you are looking for a challenging and rewarding compliance role within a respected wealth management environment, we'd love to hear from you.
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