Compliance Officer

A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team. Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company.

A highly competitive package is on offer with a comprehensive benefits package. Negotiable. Happy to discuss upon application; based on level of seniority and experience. Can be office based or remote.

Compliance Officer:

• Support the Compliance Director to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, scanning, etc.


• Complete thorough file checks of advice cases to ensure adherence to both internal standards and regulatory requirements, providing constructive feedback relating to areas of improvement.


• Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolutions.


• Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.


• Keep abreast of, interpret, and communicate changes in FCA regulations to relevant departments, ensuring that all policies and procedures are updated accordingly.


• Conduct compliance training sessions for employees to ensure company-wide awareness and understanding of compliance policies and regulatory requirements.


• Manage and report on the handling of complaints in accordance with FCA guidelines, ensuring effective resolutions.


• Support the Compliance Director in their capacity as the main point of contact with the FCA and other regulatory bodies, managing all communications and reporting requirements.


• Act as liaison and maintain effective relationships with external third-party compliance support services.


• Foster a compliance culture within the organisation and contribute to strategic planning from a regulatory perspective.

The successful Compliance Officer will have:

• Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification, or working towards this.


• Proven experience as a Compliance Officer or similar role within an FCA regulated financial advice business.


• Thorough understanding of FCA regulatory frameworks and compliance requirements