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Compliance Operations Officer

Compliance Operations Officer

  • Location


  • Sector:

    Compliance and Legal

  • Job type:


  • Salary:

    £33000.00 - £40000 per annum

  • Contact:

    Raj Basra

  • Contact email:

  • Job ref:


  • Published:

    19 days ago

  • Consultant:

    Raj Basra

Compliance Operations Officer | Investments | Remote £35 - 40,000 (doe)

Finitas are delighted to be partnered with a leading investments company in their search for a Compliance Operations Officer.

This is a brand-new role which will sit within the growing compliance function and report directly into the Head of Compliance Operations. You will be required to assist, maintain & improve the following:

  • Policy framework
  • Breach management framework
  • Compliance reporting framework
  • Conflicts management
  • Remuneration schemes

Experience required:

  • 3-5 years working in a investments, platform or wealth management setting
  • Relevant compliance, risk management and control expertise is desirable
  • Experience in stakeholder management and engagement
  • Understanding of the three-lines of defense

This is an amazing opportunity to be part of a dynamic new team with lots of exposure and development opportunity and also be part of a company that promote a great working culture.

For more information, please get in touch with Raj on 02033702000 / r.basra @