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Risk & Compliance Officer

Yorkshire and the Humber

  • Reference: 386317
  • Job type: Permanent
  • Salary: Competitive depending upon Experience

  • Location: North Yorkshire

The Client

Nigel Wright are delighted to be in partnership with new client Trustlaw Wealth in their appointment of a Risk & Compliance professional.

Trustlaw Wealth is a modern firm with traditional values blending a dynamic approach and the latest technology with loyalty, integrity and client care at the centre of everything they do.

Trustlaw Wealth provide specialist financial advice on trusts, tax and investments. They also offer advice on retirement planning, equity release and protection.

Work ranges from private client advice on estates planning, trusts and inheritance tax mitigation to advising business owners and managers looking to protect their business

The Role

Reporting to the Directors, you will be responsible for evaluating, developing and implementing all systems and controls including written documentation and records for policies and procedures. Keeping up to date with all relevant rules and regulations, your role will focus on ensuring compliance within the regulatory requirements of the Financial Conduct Authority.

The role will integrate heavily with the sales function of the Firm in order to coordinate the introduction of new risk-modelling software and procedures across the client base, shifting from the current procedures for risk monitoring and evaluation, into a more focused and robust system moving forward.

Responsibilities not limited to:

  • Act as first line of contact for all regulatory and risk matters
  • Manage and coordinate all in-house and external compliance functions
  • Keep abreast of regulatory updates, reporting to the Directors on a regular basis
  • Reviewing and updating current regulatory policies including Annual Compliance Plan, Systems and Controls and Risk Management
  • Work closely with future trainees through to CAS and beyond, recording assessment of KPIs and CPD, delivering appropriate coaching and training to support and assist with their development
Initially working alongside external Compliance Consultants and Advisers, you will grow into a position of responsibility with the Firm and ultimately progress towards Compliance Director role.


The Person

The successful candidate will have a background in regulated financial services with a good knowledge of FCA regulations

▪ Preferably QCF Level 4 Diploma qualified, working towards JO7/AF6 or equivalent
▪ Excellent communication skills with the ability to communicate at all levels
▪ Ability to work on multiple tasks and projects
▪ Ability to be proactive and work to strict deadlines
▪ Good organisational skills and accuracy levels
▪ Committed and self-motivated
▪ Determination and ambition to progress within the role and the organisation
▪ Understanding of sale processes and ability to integrate and work across the multiple sectors with the firm


Talk to a consultant about this role