Compliance Officer

Our client is a long established, FCA regulated financial planning firm with over 36 years of experience delivering bespoke financial advice to both private and corporate clients. They provide expert, unbiased advice across pensions, investments, estate planning, inheritance tax and mortgages, drawing on a broad range of market leading solutions to meet their clients’ needs.

Due to continued business growth, they are now seeking a hands-on Compliance Officer to support the business in maintaining robust compliance and governance standards. The role offers the opportunity to work closely with the senior leadership team and influence how regulatory oversight is embedded across the business.

As a business, their approach is shaped by four guiding values:
Nurturing Relationships, Navigating Futures, Client-Centred Excellence, and Thriving Together.

These values underpin how they operate, how they serve their clients and how they collaborate as a team.

Overview of the role

The Compliance Officer will ensure the business operates in line with the compliance framework, while maintaining strong internal processes that support regulatory alignment and business efficiency.

The postholder will work closely with the Financial Planning Director and Operations Director to help ensure policies, procedures, communications and adviser activities reflect expectations and internal commitment to professional, ethical advice.

Key Responsibilities

Compliance

• Maintain up-to-date knowledge of the networks compliance requirements and ensure these are implemented across the firm.
• Coordinate the internal application of the networks policies and updates, including those specifically relating to documentation, communications, file checks, and complaints.
• Oversee advice file reviews in accordance with network expectations and follow up on remedial actions.
• Support the networks complaint handling process internally, ensuring accurate records and clear communication.
• Review and manage the sign-off process required for client facing communications and materials to ensure compliance with network standards.
• Attend network compliance events and forums as required, disseminating key updates to the relevant teams.
• Provide regular reports to senior leadership on key compliance issues, developments, and risk indicators.
• Lead on the implementation and interpretation of the Consumer Duty rules within the business.
• Ensure the business maintains effective systems to identify and support vulnerable clients.

Training & Competence (T&C)

• Work with department managers and advisers to ensure the network T&C scheme is appropriately embedded.
• Organise and support adviser T&C meetings, observations, and development planning.
• Monitor adviser KPIs and ongoing competence metrics.
• Ensure all staff complete required regulatory training and annual CPD testing, as outlined by the network.

Anti-Money Laundering & Data Protection

• Ensure AML and data protection controls remain compliant with network expectations.
• Support staff awareness and implementation of financial crime and data security policies.
• Maintain audit ready documentation and logs across all regulated areas.

Skills, Knowledge & Experience

• Level 4/Diploma qualified preferred/desirable
• Proven experience in a compliance role within a regulated financial advice firm or network environment
• Strong working knowledge of UK financial services regulation, compliance procedures, and oversight frameworks
• Familiarity with the network or similar network’s compliance structures is highly desirable
• Demonstrated ability to manage file reviews, complaints and T&C frameworks
• Confident and professional communicator with excellent organisational and interpersonal skills
• High attention to detail with a pragmatic, solutions oriented mindset
• A collaborative, values driven individual with the ability to influence at all levels
• Sound understanding of Consumer Duty legislation and best practices for identifying and supporting vulnerable clients

Our client is looking to hire a high calibre, compliance professional with a demonstrated track record in the industry.

In return, you’ll be joining a respected, renowned financial planning practice with an enviable reputation.

A generous salary, plus comprehensive benefits are available.

Please apply to us here at Recruit Wealth for an immediate response.