Compliance Officer

Posted 8 months ago

We are looking to speak to experienced compliance consultants with demonstrative knowledge of the financial services industry. Our client has an excellent reputation in the industry and the gold standard within financial planning. We are looking for an experienced financial professional to assist the Compliance Director.

This may be suited to someone who wishes to progress from a Paraplanner or Senior Paraplanner position to a supervisory function. It could also suit a someone who has progressed from Paraplanner to Adviser but is looking for a more technical role.

The Role

  • Assessing and checking the advice provided by the advisory team.
  • Assessing the work being produced for clients and ensuring the firms high standards are maintained.
  • Provide technical support and assistance to the advisory team and so a good knowledge of current legislation is necessary.
  • Run ad hoc projects reviewing the needs of clients and ensuring we are meeting them.
  • Assisting with the technical training of staff.


  • Highly experienced in the advisory process
  • Have extensive experience of suitability report production, ideally with knowledge of Trusts, IHT Planning, Pensions, Investments and Wealth Management.
  • Hold at least Diploma (level 4) qualified, but preferably progressing towards or qualified to Advanced Diploma/Chartered level (level 6).
  • Recent experience of working in an IFA environment


  • Support with ongoing study and the firm will require you to take further qualifications to gain Chartered Status and to take part in Continuous Professional Development.
  • Potential for an annual discretionary bonus
  • Pension scheme membership (with a 5% employer contribution, increasing after 5 years service),
  • Group life cover (4 x earnings) and group income protection cover.
  • Salary is negotiable based on experience.

Please apply to

Please apply to be considered for this fantastic opportunity, if successful one of our specialist consultants will be in touch within 48 hours. If you do not hear from us during this time please assume your application has been successful. Due to the number of applicants we receive we cannot give feedback to individuals. For more information visit our website or contact our office.

Job Features

Job CategoryFinancial

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