Compliance Officer (SMF 16)

• Annual Bonus


• 35 Hour week, office based


• 25 Days Holiday


• Collaborative work environment

A highly regarded independent Investment firm are seeking an experienced Compliance Officer to oversee their Compliance team who are based at their West Oxfordshire office.

This is a significant role within the business and requires an accomplished individual with their CISI Level 6 Diploma in Financial Compliance (or equivalent) and who holds the SMF 16 function.

Key Job responsibilities

• To provide an effective systems and controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates


• The focus is primarily on FCA compliance but also encompasses compliance with Data Protection Act and Proceeds of Crime Act


• To ensure that the business and its Appointed Representatives comply with all regulations, which apply to its permitted activities, by way of undertaking monitoring reviews to demonstrate compliance


• To assist in the development and maintenance of effective systems and processes within the Organisation

Skills and Knowledge Requirements:

• Relevant qualification such as CISI Level 6 Diploma in Financial Compliance


• To Hold the SMF 16 function (Compliance oversite function)


• Ability to manage and oversee a small compliance team


• Experience within investment/financial planning Industry is essential.

You will be located within a commutable distance to Witney, Oxfordshire, OX28 as this is full time office-based role.

If you have the skills and experience a role like this requires, please apply today!