Compliance Officer





This vacancy has been filled and is no longer available.

Compliance Officer

  • Based in Harrogate – Hybrid Working (After Probation)
  • c. £40,000 pa, dependent on experience
  • Bonus Scheme
  • Excellent Working Culture
  • 30 Days Holiday
  • 9% Employer’s Pension Contribution
  • Excellent Company Benefits



Our client is a well-established independent investment management business who provide portfolio management, stockbroking, and financial planning services to private clients. With full in-house back office, research and support teams, this firm is committed to providing an exceptional level of service to their clients which is achieved by developing long-term and trusted relationships.


Due to their impressive and sustained growth in assets under management and their increasing client base across the UK, we have an exciting opportunity for a Compliance Officer to join this growing organisation.



This is an exciting and varied role that will see the successful individual assist in all aspects of compliance and risk management processes. You will engage in general compliance queries across the organisation and therefore prior financial services experience is highly desirable. Alongside providing assistance and information, you will be responsible for identifying, reporting, and resolving regulatory risks and issues, ensuring KYC and TCF policies and procedures are adhered to, as well as the maintenance of compliance monitoring. You will be given the opportunity to take ownership of these processes and to further develop your skillset through qualifications.


Your key responsibilities will include:

  • Being a main point of contact for all services across the business and providing accurate information and assistance in relation to compliance queries.
  • Compiling and updating the Compliance Monitoring Plan.
  • Identifying and reporting any regulatory risks and issues.
  • Assisting in the resolution of any potential regulatory issues.
  • Compiling ongoing Management Information and providing monthly updates and reports.
  • Drafting new, and reviewing existing policies and procedures, whilst carrying out file reviews to ensure these are being adhered to.
  • Reviewing FCA publications, highlighting any areas of direct impact to the firm.



  • Compliance experience within Financial Services is highly desirable, preferably within Financial Planning and Discretionary Investment Management.
  • Ideally you will have gained CISI qualifications or be in the process of doing so.
  • Exceptional attention to detail and analytical skills.
  • Ability to respond to enquiries from a variety of stakeholders and effectively relay information clearly.
  • Excellent organisational and time management skills
  • Strong work ethic with a desire to learn and commitment to lead by example.
  • Excellent communication skills, both written and verbal.
  • The ability to work well under pressure and use initiative whilst effectively prioritising and multi-tasking.


This is an excellent time to join a growing business that is committed to its people and their continued development. If you feel you are suitable, please apply today by submitting your CV to Alternatively, to discuss the opportunity further, please contact Jonny McPartland directly on 07375 675 049 / 0113 332 0678.

Thank you for taking an interest in the role advertised. We’d like to confirm that each CV received is read thoroughly by a trained consultant; if your application is shortlisted then you will be contacted via telephone in the first instance. If we have not contacted you within 5 working days of your application, please understand that the CV received, and the information provided does not meet the requirements of the role. However, we endeavour to consider all applicants for future opportunities; should you wish to speak to the named consultant about your application, please contact us directly

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