Regulatory Compliance Lead - Financial Advisory

A well-established financial advisory firm based in Leek, England, is seeking a Compliance Officer. The successful candidate will lead regulatory change projects, manage FCA reporting, and ensure compliance across various financial policies. Responsibilities include drafting regulatory documents, supervising trainee advisers, and managing risk assessments. Candidates must hold a Level 4 Diploma in Financial Advice and have at least 2 years of experience in a technical financial planning role.
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