Financial Compliance Officer
Salary: £40,000 to £50,000 per annum
Hours: 36.25 hours per week, Monday to Friday (including 1 hour 15 minute break)
Location: Canterbury
We are working with a well established, award winning Independent Financial Planning and Wealth Management firm seeking a Financial Compliance Officer to join their Technical & Quality Assurance team.
You will be responsible for first line monitoring and quality assurance of financial planning advice. You will ensure suitability reports and technical research meet defined quality standards and FCA regulatory requirements, while helping to mitigate business risk.
Key Responsibilities
Conduct detailed suitability report and technical file reviews
Assess the suitability of advice, including complex pension transfers and higher-risk products (e.g. VCTs)
Ensure advice is compliant, robust and supported by appropriate documentation
Meet agreed service level agreements
Identify trends, patterns and areas for improvement
Clearly document findings and coordinate remedial actions
Provide structured, constructive feedback to Financial Planners and advisory teams
Produce regular management reports on file review outcomes
Provide insight and trend analysis to enhance advice quality
Ensure adherence to FCA regulations, industry standards and internal policies
Support risk mitigation through proactive compliance monitoring
Work closely with Compliance and Training & Competence teamsEssential Experience
Minimum 5 years' experience in a quality assurance, financial planning and reporting writing
Background within an FCA regulated financial services firm
Diploma qualified, with willingness to progress to Advanced DiplomaSkills & Knowledge
Strong understanding of the financial planning process and investment/pension products
Experience reviewing complex advice cases
High attention to detail and strong analytical skills
Proficient in Microsoft Office (Intelliflo experience desirable)Benefits
5% employer pension contribution
26 days annual leave plus bank holidays
Occupational sick pay
Medical cashback plan
Death in service cover
Additional voluntary benefitsEmail: (url removed)
New Appointments Group, Expertly Matching Employers and Jobseekers since 1975.
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We are committed to fostering a diverse and inclusive environment in line with the Equality Act 2010. All qualified applicants will be considered regardless of age, disability, gender reassignment, marriage or civil partnership, pregnancy or maternity, race, religion or belief, sex, or sexual orientation. New Appointments Group acts as an Employment Agency for permanent roles and as an Employment Business for temporary roles.
Please note: We can only accept applicants who have the full Right To Work in the UK and live within a 30 to 45 minute commute to Canterbury