Senior Compliance Training Officer
other jobs Clayton Davies Ltd
Added before 7 Days
- England,North West,Greater Manchester
- Full Time, Permanent
- Salary negotiable
Job Description:
MUST BE BASED IN THE NORTH OF ENGLAND
Our client is an an expanding organisation within the wealth management sector, bringing together teams from a variety of established advisory firms. This position is ideal for someone with a strong understanding of the financial advice process who enjoys a mix of training, technical review work, and collaborative problem-solving. The role involves engaging directly with incoming teams, helping them transition into their operational model, and ensuring ongoing consistency in advice quality.
In this role, you will develop tailored training materials, review client file documentation, and work closely with advisers to assess their readiness to operate within our standards. You will also carry out structured suitability checks and support colleagues across compliance, onboarding, and adviser development functions.
Role & Responsibilities:
*Create and update training content to support the onboarding of new advisers and paraplanners.
*Review background information from incoming firms and use insights to shape training plans and identify areas that require attention.
*Deliver training sessions both in person and virtually, ensuring advisers understand processes, expectations, and best practices.
*Conduct pre-integration file checks to review the quality and suitability of advice.
*Assess adviser readiness and ensure the appropriate standards are being met before transitioning into ongoing supervision.
*Provide one-to-one support where needed and act as a key point of contact for new joiners during their first phase.
*Carry out file reviews in line with internal procedures and regulatory expectations.
*Work collaboratively with internal teams to maintain consistent quality standards.
*Raise issues promptly and keep stakeholders informed of progress throughout the onboarding process.
Do you have the following to apply?
*Level 4 financial planning qualification (or equivalent) as a minimum.
*Strong experience as a File Reviewer who perhaps wants a role that can offer some variety.
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
Our client is an an expanding organisation within the wealth management sector, bringing together teams from a variety of established advisory firms. This position is ideal for someone with a strong understanding of the financial advice process who enjoys a mix of training, technical review work, and collaborative problem-solving. The role involves engaging directly with incoming teams, helping them transition into their operational model, and ensuring ongoing consistency in advice quality.
In this role, you will develop tailored training materials, review client file documentation, and work closely with advisers to assess their readiness to operate within our standards. You will also carry out structured suitability checks and support colleagues across compliance, onboarding, and adviser development functions.
Role & Responsibilities:
*Create and update training content to support the onboarding of new advisers and paraplanners.
*Review background information from incoming firms and use insights to shape training plans and identify areas that require attention.
*Deliver training sessions both in person and virtually, ensuring advisers understand processes, expectations, and best practices.
*Conduct pre-integration file checks to review the quality and suitability of advice.
*Assess adviser readiness and ensure the appropriate standards are being met before transitioning into ongoing supervision.
*Provide one-to-one support where needed and act as a key point of contact for new joiners during their first phase.
*Carry out file reviews in line with internal procedures and regulatory expectations.
*Work collaboratively with internal teams to maintain consistent quality standards.
*Raise issues promptly and keep stakeholders informed of progress throughout the onboarding process.
Do you have the following to apply?
*Level 4 financial planning qualification (or equivalent) as a minimum.
*Strong experience as a File Reviewer who perhaps wants a role that can offer some variety.
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
Job number 3586739
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Company Details:
Clayton Davies Ltd
Company size: 1–4 employees
Industry: Recruitment Consultancy
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