Compliance Assistant/ File reviewer

Compliance Assistant – Financial Services

Location: Hybrid Work (Poole, Dorset). Occasional travel required.

Contract: Permanent, Full-Time

Salary: Competitive, commensurate with experience

About the Firm

A leading Chartered financial planning business in the South of England is seeking a Compliance Assistant to join its growing team. The firm provides holistic financial planning and advice to a wide range of clients, including individuals, households, trustees, and businesses.

The business also supports a network of Appointed Representatives and prides itself on upholding the highest compliance and client service standards.

Role Overview

This is a newly created role reporting directly to the Head of Compliance. You will play a key role in ensuring the business and its Appointed Representatives remain aligned with FCA Handbook requirements and Conduct Rules.

Your primary focus will be on file reviews, monitoring advice quality, and supporting compliance standards across the group.

Key Responsibilities

• Review, assess, and monitor advice provided by Financial Planners and Appointed Representatives
• Provide technical compliance support to advisers where required
• Maintain detailed compliance records and report any identified issues
• Support the Head of Compliance with regulatory adherence
• Assist in reviewing, updating, and implementing compliance policies and processes
• Support complaint resolution and Errors & Omissions (including redress calculations)
• Gather, record, and report relevant Management Information (MI)
• Monitor compliance with the Financial Services and Markets Act 2000, FCA Statements of Principle, Conduct Rules, and Consumer Duty principles

Ideal Candidate

• 3–5 years’ experience in a compliance role within financial services
• OR experience as a Financial Planner or experienced Paraplanner looking to transition into compliance
• Diploma in Financial Planning (R01–R05 or equivalent) and/or compliance qualifications (desirable)
• Strong knowledge of retail financial services compliance, advice processes, and file checking
• Excellent attention to detail with strong organisational skills
• Ability to work to deadlines and take a proactive approach to problem-solving
• Confident communicator with good IT skills (Microsoft Office proficiency essential)

Benefits

• Competitive salary (commensurate with experience)
• Pension scheme (3% employer contribution)
• Death in Service cover
• Private Medical Insurance
• Cycle-to-work scheme
• EV scheme & BTW scheme
• 25 days holiday birthday off
• Opportunities for training, development, and professional growth
• Collaboration opportunities across a wider financial services group