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Compliance Officer

The main function of the compliance officer is to support the Group Head of Compliance and Training alongside the compliance department to ensure the effective operations of NFP with relevant rules and regulations. This role will have a particular focus on our private client individual wealth management division, but the team works together across divisions and so there will also a requirement to support the team with general compliance activities. The ideal candidate will have a strong compliance background and relevant experience in the financial services industry.


Essential Duties and Responsibilities:

  • Representing the compliance division to the business and providing suitable advice on regulations and compliance issues, with a focus on our private client division.
  • Providing support with our training & competence scheme. including implementation, monitoring, adviser development and administration.
  • Undertaking relevant research and diligence as required by the team, in particular with regards to the investment committee.
  • Supporting the compliance team in devising, implementing, monitoring and reviewing solutions to requirements arising from all applicable legislation, taking into account commerciality and practical application
  • Keeping up to date with current compliance trends with an awareness of ESG, TCF principles (in particular, for vulnerable clients) but also with knowledge in pensions, insurance, investments and mortgages.
  • Building relationships with key stakeholders in all business lines, including development of knowledge of their business aims, strategies and problems
  • Collect and inform on relevant management information (MI)
  • Undertaking general support and administration duties for the compliance division



  • 2+ years’ experience in compliance roles within the financial services sector
  • Specific qualifications are not essential for the role but candidates with relevant financial, compliance and/or legal qualifications will be preferred
  • Strong knowledge of the UK regulatory framework and the FCA handbook
  • High degree of integrity with high ethical standards
  • General understanding of key pieces of regulation, including the Senior Managers and Certification Regime (SM&CR), the Insurance Distribution Directive (IDD) and the General Data Protection Regulation (GDPR)
  • Good background knowledge of insurance products (life, medical, income protection), pensions (especially SIPPs) and mortgages.
  • Confidence with legal terminology and contract law
  • Proficiency with Microsoft Office and the ability to adapt to new systems quickly


Education and/or Experience:

BA or BS degree preferred or equivalent experience


Certificates, Licenses, Registration:



Physical Demand:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. While performing the duties of this Job, the employee is regularly required to sit; use hands to handle or feel and talk or hear. The employee is frequently required to reach with hands and arms. The employee is occasionally required to stand and walk. Specific vision abilities required by this job include close vision and distance vision.


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NFP is an inclusive Equal Employment Opportunity employer.

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