Compliance Officer – Financial Services

Posted 3 weeks ago

Our client an established IFA is looking for a Compliance Officer to join their prestigious firm. With a generous salary and great package this is a perfect role for a Compliance professional seeking their next step or a Paraplanner or Financial Adviser looking to move into compliance.

Our client is looking for someone that is able to oversee the compliance of the financials services team.

The Role

Provides technical support to the IFAs

  • Research and undertake technical assessments of cases submitted by Advisers.
  • Overseeing junior and intermediate Paraplanners
  • Analysing client’s circumstances, portfolios and objectives and preparing appropriate reports.
  • Produce compliant and technically accurate suitability letters and reports
  • Assist in answering client queries give them a service which surpasses their expectations
  • Test the compliance of other Paraplanners documentation
  • Preparing for client meetings including checking that all compliance paperwork is present.
  • Undertaking fund performance comparisons
  • Building and maintaining client relationships


  • Competitive salary based on experience
  • Company discretionary bonus scheme
  • Competitive holiday allowance
  • Continued supported progression


  • Strong previous experience in a Paraplanning role (specifically writing suitability reports and assisting with compliance)
  • Level 4 Diploma qualified minimum, working towards Chartered status is highly desirable
  • AF3 or working towards
  • Excellent technical knowledge of investments, tax, corporate services and
  • Knowledge or use of back office CRM systems

This role would suit a career Paraplanner looking to build on existing experience or someone who is looking to further their knowledge and progress in their career.

Apply Now!

Please click apply to be considered for this fantastic opportunity. If successful one of our specialist team members will be in touch within 48 hours to discuss the role with you before submitting your CV to our client as well as discuss any other suitable Paraplanner roles with you that may not be directly advertised.

Synonyms: Report Writer, Financial Planner, Technical Sales Support, Technical Planner, Para Planner, Paraplanner, para-planner, suitability, Senior Paraplanner

Job Features

Job CategoryFinancial

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