, , Compliance Officer - Poole - Artemis Recruitment Consultants

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Financial Services



Type of Position: Compliance Officer - Poole
Pay: £40k - £50k

Compliance Officer - Poole

We are working with a firm based in Poole, Dorset looking for an experienced Compliance Officer to join their team. You will be responsible for the formatting and implementing of compliance policies across the business.



  • Helping ensure the firm meets its obligations under the FCA requirements on senior management responsibilities/systems and controls.
  • Helping ensure the firm continues to always meet its threshold conditions.
  • Helping ensure that the firm’s business complies with the requirements of the Consumer Duty on an ongoing basis.
  • Helping ensure that good consumer outcomes are being delivered within all areas of responsibility. 
  • Helping ensure appropriate ethical standards always exist within the firm.
  • Helping ensure appropriate compliance processes and procedures are in place covering all areas of the firm’s business activities.
  • Helping ensure appropriate systems and controls are in place covering all areas of the firm’s business activities and these are reviewed on a regular basis.
  • Helping ensure appropriate advice and sales procedures are in place for all business areas and these are followed.
  • Helping ensure the firm maintains accurate, detailed, and up to date. compliance records across all areas of the firm’s business activities.
  • Helping ensure appropriate advisory procedures are in place and maintained and cover all relevant business areas.
  • Providing required management information for the Board, as required


  • Level 4 Diploma in Financial Planning would be preferable. 
  • Mortgage & Equity release qualifications would also be an advantage.


  • At least 3 years’ experience in the financial services industry including at least 1 year in a compliance or Training and
  • Competence related environment.
  • Ideally you will have worked across a full product portfolio typical of a wealth management environment. 
  • A knowledge of Intelligent Office.
  • Able to evidence a broad base of compliance knowledge. 


  • A “can do” attitude, and a strong work ethic.
  • You will enjoy working with others and want to be of service to clients, and each other.
  • You have excellent organisational skills with a strong administration background where attention to detail is key. 
  • Good written & oral communication skills.
  • Good planning and project management skills.
  • Good numerical skills. 
  • General IT skills – including Word, Excel, and PowerPoint.
  • Ability to compile reports, procedures, and processes.
  • Ability to think outside the box when problem-solving is required.

If you are interested in applying for this position, then please submit your CV to josie@artemisrecruitment.co.uk 

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