Job Role:
Compliance
Location:
Remote / Office-based (Poole)
Salary:
£40,000 -£50,000
Reference:
9827
Are you an experienced compliance professional with a background in financial planning?
This is a fantastic opportunity to join a growing Chartered financial planning group in a newly created compliance role.
You'll work closely with the Head of Compliance to ensure the business and its network of partner firms deliver advice that is fully compliant, client-focused, and in line with FCA requirements.
This position will give you exposure across all areas of compliance — from file reviews and technical support for advisers through to complaints handling, redress calculations, policy updates, and MI reporting. It's a varied and rewarding role where you'll play a key part in upholding high standards and driving good outcomes for clients.
Key Responsibilities:
* Carry out reviews and monitoring of advice provided by Financial Planners, Appointed Representatives, and partner firms, offering technical support where needed
* Ensure compliance records are maintained accurately and report any issues or breaches identified
* Work with the Head of Compliance to make sure the firm operates in line with FCA regulations and wider legislation
* Assist with reviewing, updating, and embedding compliance policies and processes across the business
* Contribute to the collection, analysis, and reporting of Management Information to senior stakeholders
* Monitor adherence to the FCA Handbook, Conduct Rules, and Consumer Duty requirements, ensuring the business consistently delivers good customer outcomes
What's on offer:
* £40,000 - £50,000
* Pension scheme (3% employer contribution), private medical insurance & death in service cover
* 25 days holiday + your birthday off + bank holiday
* Cycle to work scheme
* Opportunities for continuous professional growth and development
* Work closely with a Chartered firm at the heart of a wider wealth management group
About you:
* 3–5 years' experience in financial services compliance or as a Financial Planner
* Diploma in Financial Planning (R01–R05 or equivalent) or compliance qualifications desirable
* Excellent attention to detail and ability to meet deadlines
* Strong organisational skills and confident IT ability
* A proactive problem solver with strong communication skills
This role is mostly remote, but office presence ideally twice a week Poole
,
with occasional travel to partner firms.
If you're ready to take on a varied compliance role with strong progression opportunities, apply today or get in touch to learn more.