Join our Wealth Team

About us

Sedulo is one of the fastest growing UK mid-tier advisory firms.  Our forensic accounting team is routinely instructed in respect of a wide range of criminal and civil matters, regularly acting as expert witnesses.  We are looking for highly competent individuals to join our rapidly growing civil forensic accounting function to assist on commercial disputes and investigation matters.

At Sedulo we are building a world class team to deliver our mission to make positive change in the communities we work in.  We do this by:

  • Delivering high quality work products
  • Connecting and contributing to the business community in the cities we are located in
  • Working with charities by volunteering, fundraising and influencing change both now and in the future through the Sedulo Foundation
  • Being a great place to work and develop your career

About The Role

Location

This is a flexible role, with the ability to work from home or from one of our office locations (London, Manchester, Liverpool or Leeds).  Requirement to attended quarterly team meetings in person.

Role

This is a part time role, 2/3 days per week or 15-20 hours per week that could work other commitments.

A successful and award winning financial planning practice is looking for a Compliance Officer / File Checker to join its team. Reporting to the Wealth Management Director, the role will consist of high level file checking and have involvement in all other compliance related areas within a busy Independent Financial Planning business.

Compliance Officer:

  • Support the Directors to develop and implement comprehensive compliance policies and procedures throughout the organisation.
  • Complete thorough file checks of advice cases to ensure adherence to both internal standards and regulatory requirements, providing constructive feedback relating to areas of improvement.
  • Conduct regular reviews to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolutions.
  • Maintain a good understanding of all FCA regulations and changes, ensuring that all policies and procedures are updated accordingly.
  • Involvement in all other compliance related tasks within the firm

Your knowledge, skills and experience

  • Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification. CeMap qualification or equivalent would be beneficial.
  • Proven experience as a Compliance Officer or similar role within an FCA regulated financial advice business.
  • Thorough understanding of FCA regulatory frameworks and compliance requirements.

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Our aim is to encourage and support all applicants during the application process, if you have any reasonable adjustments that you will require, please do not hesitate to get in touch via [email protected].

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