Job Description
Senior Compliance Monitoring Executive
Salary: £40,000 – £50,000 (DOE)
Job Type: Full-time, Permanent
Looking to move from Paraplanning into a more technical, supervisory role?
We are recruiting for a Senior Compliance Monitoring Executive to join a well-established financial planning firm. This role would suit a Diploma-qualified Paraplanner or Senior Paraplanner who wants to focus on technical oversight and quality control rather than general compliance administration.
You will play a key role in reviewing paraplanning work, ensuring suitability standards are met, and maintaining high-quality client outcomes across the financial planning process.
Key Responsibilities
* Conduct file reviews and compliance monitoring checks
* Review and assess paraplanners’ work for accuracy and suitability
* Provide constructive feedback and technical guidance
* Identify trends, risks, and areas for improvement
* Support continuous improvement in advice standards
About You
* Minimum Level 4 Diploma qualified (essential)
* Background in financial planning, ideally paraplanning/senior paraplanning
* Strong technical knowledge and understanding of suitability requirements
* Excellent attention to detail and analytical skills
* Confident communicator with a collaborative approach
Why Apply?
* Opportunity to step into a more strategic, supervisory role
* Focus on financial planning quality and client outcomes
* Competitive salary of £40,000 – £50,000 depending on experience
Interested? Apply today or get in touch for a confidential discussion.