About Company
Chelsea Financial Services is a distinguished, independent financial advisory firm, established with a steadfast commitment to providing unbiased and expert financial guidance to individuals, families, and trusts. For decades, we have built a reputation for integrity, client-centric service, and a deep understanding of the complex financial landscape. Our mission is to empower our clients to achieve their financial aspirations through strategic planning, astute investment advice, and comprehensive wealth management solutions. Based in the heart of Chelsea, London, we pride ourselves on fostering long-term relationships built on trust and exceptional service. We are regulated by the Financial Conduct Authority (FCA) and are dedicated to upholding the highest standards of professional conduct and regulatory compliance in every aspect of our operations. Joining Chelsea Financial Services means becoming part of a team that values expertise, ethical practice, and continuous professional development in a supportive and collaborative environment.
Job Description
Chelsea Financial Services is seeking a meticulous and highly experienced Home-Based Compliance Officer to join our dynamic team. In an increasingly regulated financial services sector, the importance of robust compliance frameworks cannot be overstated. This pivotal role requires an individual who is not only deeply knowledgeable about FCA regulations and relevant legislation but also possesses the acumen to interpret, implement, and monitor these requirements across all aspects of our business. As a Home-Based Compliance Officer, you will be instrumental in ensuring that Chelsea Financial Services maintains its impeccable record of regulatory adherence, safeguarding our reputation and protecting our clients’ interests.
Working remotely, you will be responsible for developing, maintaining, and enhancing our compliance policies and procedures, ensuring they are current, effective, and fully integrated into our operational practices. This role demands a proactive approach to identifying potential compliance risks, conducting thorough internal audits, and providing expert guidance to senior management and staff on all compliance-related matters. You will play a crucial role in fostering a culture of compliance throughout the organisation, delivering training, and acting as a primary point of contact for regulatory inquiries. The ideal candidate will thrive in an autonomous work environment, demonstrating exceptional organisational skills, attention to detail, and the ability to manage multiple priorities effectively. This is an outstanding opportunity for a dedicated compliance professional to make a significant impact within a respected independent financial advisory firm, contributing directly to our ongoing success and commitment to excellence.
Key Responsibilities
- Develop, implement, and maintain the firm’s compliance policies and procedures in line with FCA regulations and relevant legislation.
- Monitor regulatory changes and updates, assessing their impact on the firm and ensuring timely adaptation of internal policies and practices.
- Conduct regular compliance reviews, internal audits, and risk assessments to identify potential areas of non-compliance and recommend corrective actions.
- Provide expert advice and guidance to management and staff on all compliance-related issues, including financial crime, data protection, and market abuse.
- Oversee the submission of regulatory reports and ensure all filing deadlines are met accurately and promptly.
- Deliver comprehensive compliance training programs to new and existing employees.
- Act as the primary point of contact for external auditors and regulatory bodies during examinations.
- Investigate and resolve compliance breaches, escalating significant issues to senior management as required.
- Maintain accurate and organised records of all compliance activities, documentation, and communications.
Required Skills
- Proven experience as a Compliance Officer or in a similar compliance role within the UK financial services industry.
- In-depth knowledge of FCA Handbook (e.g., SYSC, COBS, PRIN, SM&CR) and other relevant UK financial regulations.
- Strong understanding of anti-money laundering (AML), counter-terrorist financing (CTF), and data protection (GDPR) requirements.
- Exceptional analytical and problem-solving abilities with keen attention to detail.
- Excellent written and verbal communication skills, capable of explaining complex regulatory concepts clearly.
- Ability to work independently and manage multiple tasks effectively in a home-based environment.
- Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).
Preferred Qualifications
- Relevant professional qualification (e.g., CISI Diploma in Investment Compliance, ICA Diploma in Compliance).
- Experience with compliance software and regulatory reporting tools.
- Prior experience working with an independent financial advisory firm or wealth management firm.
- A degree in Law, Finance, Business Administration, or a related field.
Perks & Benefits
- Competitive salary package.
- Generous pension scheme.
- Private medical insurance.
- Life assurance.
- 25 days annual leave plus bank holidays.
- Opportunities for professional development and continuous learning.
- Supportive and collaborative remote working environment.
- Access to a comprehensive employee assistance program.
How to Apply
If you are a dedicated compliance professional looking for a challenging yet rewarding home-based role, we encourage you to apply. Please click on the application link below to submit your CV and a cover letter detailing your relevant experience and why you are the ideal candidate for this position. We look forward to reviewing your application.