Senior Compliance Monitoring Executive
Location: Canterbury (Hybrid Working)
Job Type: Full-time, Permanent
Salary: £40,000 – £50,000 (dependent on experience)
About the Role
We are seeking a highly motivated and detail-oriented Senior Compliance Monitoring Executive to join the Technical & Quality Assurance team.
This is a first-line advice quality role, focused specifically on the Financial Planning process. You will be responsible for reviewing and assessing suitability reports and technical research, ensuring the highest standards of advice quality and regulatory compliance are maintained.
Importantly, this is not a generalist compliance position. The role centres on reviewing the work of Paraplanners and Financial Planners, making it particularly well suited to an experienced Paraplanner or Senior Paraplanner looking to move into a more technical, supervisory, or quality-focused position.
If you are passionate about delivering high-quality financial planning and want to focus on improving advice standards rather than broader compliance oversight, this could be the ideal next step.
Key Responsibilities
Advice Quality Assurance (Financial Planning Focus)
1. Conduct detailed quality assurance checks on suitability reports and technical research produced by Paraplanners
2. Ensure advice is technically accurate, suitable, and aligned to client objectives
3. Review complex cases including pension transfers and higher-risk products such as VCTs
4. Ensure advice meets FCA requirements and internal standards
5. Meet agreed service level agreements
Quality Monitoring & Improvement
6. Identify trends in advice quality and technical standards
7. Clearly document findings and areas for improvement
8. Provide structured, constructive feedback to Paraplanners and Financial Planners
9. Support the ongoing development of the Financial Planning team
Reporting & Insights
10. Produce regular reports on advice quality findings
11. Provide meaningful insight into areas for technical improvement
12. Support continuous enhancement of the financial planning process
Collaboration
13. Work closely with Compliance, Training & Competence Supervisors, and advisory teams
14. Contribute to improving technical standards and consistency across the business
15. Support a culture of high-quality financial planning and client-centric advice
About You
Experience
16. Minimum 5 years’ experience in a Paraplanning, Senior Paraplanning, Quality Assurance or Report Writing role (essential)
17. Experience within an FCA-regulated financial services firm
18. Must be at least Diploma qualified (Level 4)
19. Working towards or willing to progress to Advanced Diploma (desirable)
This role would particularly suit a Paraplanner or Senior Paraplanner looking to transition into a more technical review, oversight, or supervisory position.
Skills & Knowledge
20. Strong understanding of the Financial Planning process and retail investment products
21. Experience reviewing complex pension and investment recommendations
22. Experience with Intelliflo (desirable, training provided)
23. Proficient in Microsoft Office
24. Excellent attention to detail and technical accuracy
25. Strong organisational and time management skills
26. Clear and confident written and verbal communication skills
27. Ability to provide constructive technical feedback
What’s on Offer
28. Salary £40,000 – £50,000 (dependent on experience)
29. 26 days annual leave plus bank holidays
30. 5% employer pension contribution
31. Occupational sick pay
32. Medical cashback plan
33. Death in service cover
34. Additional voluntary benefits
35. Hybrid working model
36. Support for continued professional development
This is an excellent opportunity for a technically strong Financial Planning professional to step into a quality-focused role where you can influence advice standards, mentor colleagues, and help shape best practice across the business.
Apply now to progress your Financial Planning career in a more strategic, oversight-focused direction.